Gary Wayne Hammond allegedly failed to inform his firm of transactions totaling more than $1.6 million, including significant investments in his half-brother's companies, which FINRA claims were Ponzi schemes.

Here are the breakaways, mergers and acquisitions announced the week of Jan. 18, 2021.

Mercer's purchase of Hart Capital Management represents the sixth deal the large RIA has announced this month.

Paul Lofties, who had been with Securities America since 2003, left the firm in December, and plans to join an advisor coaching and consulting firm.

The pardon of David Tamman was one of more than 140 pardons and commutations the outgoing president announced shortly before the end of his tenure and Joe Biden's inauguration.

Advisors Michael Brown and Brian Flynn have left Magnus and teamed up with practice management coach Penny Phillips to create Journey Strategic Wealth, a new spin on the aggregator model.

The charges against Michael and David Sztrom were filed late last week and are one of two complaints against advisors related to a California-based RIA.

The Salvino family has launched Performance Wealth, a registered investment advisor with $2.2 billion in client assets.