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Roth’s new firm will provide growth consulting, governance expertise and M&A advisory services to wealth management firms.

The industry regulator’s complaint accuses a broker of securities fraud connected to his cryptocurrency “HempCoin.”

The Bapis Group, a $1.2 billion advisory team, leaves HighTower to join former Morgan Stanley wealth exec Greg Fleming’s Rockefeller Capital Management.

The SEC charged biotech billionaire Phillip Frost in a market manipulation scheme involving two microcap companies.

Joel Burstein, a former Raymond James branch manager, has been barred from the industry for 10 years and agreed to pay $80,000 for helping his former father-in-law cover up investment fraud.

Christine Carona left UBS because she alleges that the company and her male boss tried to block her career path.

Former U.S. Trust advisor Dileep Surapaneni will focus on multijurisdiction individuals and founders in Silicon Valley.

Paul Halpern will lead the Morgan Stanley’s cash management and deposits strategy.

Deanna Rankin, a Texas native, will oversee all regulatory compliance for the firm’s San Antonio-based trust company.

Vishal Savla is facing up to 20 years in prison after pleading guilty to wire fraud after he sent clients phony account statements showing large profits, not the heavy losses he was incurring as a result of bad trades.