The mergers, acquisitions and advisor moves you may have missed the week of June 21 to 25, 2021.

The firm is the latest charged with failing to oversee reps who recommended early rollovers of unit investment trusts (UITs) that left clients saddled with higher sales charges.

Mary Kate Gulick joins the RIA from TD Ameritrade Institutional.

Brian M. Woods Financial Services, which oversees 30 advisors and $1.6 billion in assets, decided to jump ship to LPL Financial, after the firm's b/d, Voya, was acquired by Cetera.

Until last July, Guggenheim Securities prohibited employees from reaching out to officials at the SEC or other watchdogs without prior consent from the firm’s lawyers.

Green Bay–based advisor Andrew Farah said joining Mercer was a better way to grow his business than rebuilding it himself.

The Institute for the Fiduciary Standard released its alternate version of the disclosure document, arguing more was needed to draw the distinction between investment advisors and broker/dealers.