People

Bharara, who became U.S. attorney for the Southern District of New York in 2009, might view the SEC as a consolation prize, as he’s been mentioned as a possible contender to lead the Justice Department.

VVP CEO Craig Findley has reunited with members of his former UBS team.

Captrust secures its first Colorado location with Shine Wealth Partners acquisition.

Dana Wilson found a simple unmet need in wealth management—the ability for retail investors to search specifically for Black and Hispanic advisors.

Robert C. Morgan will pay about $66 million in relief for harmed investors, but no additional monetary relief, according to the commission. Morgan faces separate charges in a civil suit brought by the Justice Department.

A lot can be learned listening to clients’ experiences working with financial advisors—good and bad. We talked with Larry Marion, a recently retired custom content publisher in Newton, Mass.

The tax planning software provider added advisor and tax strategist Jeffrey Levine, who continues to hold roles at Kitces.com and Horsesmouth, to its team.

Former CFTC Director Gary Gensler will lead the team charged with examining the SEC, Commodity Futures Trading Commission, the Federal Deposit Insurance Corporation, the Federal Reserve and the National Credit Union Administration.

After a months-long vacancy, Dynasty Financial Partners found that the right fit to lead its business development was at the firm all along.