Kaival Patel was previously convicted of charges stemming from a plan to collect commissions on falsely prescribed compound medications, according to the Justice Department.

Allworth adds 25 tax professionals with its purchase of CCA, a CPA firm in Pleasant Hill, Calif.

The deal marks Robinhood’s move into wealth management. The firm says it wants to connect its investors with human advisors.

In his new role as CEO, Yones will be responsible for leading the company’s strategic vision and growth plans.

Jon Frojen, who spent the last four years as Osaic's CFO, replaces John Gray, who recently moved into the chief accounting officer role at Beacon Pointe.

The $3.4 billion investment firm has hired Jenna Bloomgarden as head of marketing and advisor experience and Brian Terraciano as head of operations.

In a motion filed this week, Sanctuary claimed there was “no evidence” a FINRA sanction against a Sanctuary subsidiary had “any adverse economic effect” on EverNest’s business.

If you’re not at the table, you’re on the menu.

Clayton has no experience as a federal prosecutor. Since leaving government at the end of Trump’s first administration, he has served as Apollo Global Management Inc.’s independent chair and returned to New York-based law firm Sullivan & Cromwell...