Patrick Donachie

Massachusetts Secretary of the Commonwealth William Galvin originally sought public comments on a proposed fiduciary standard in June as a response to the SEC’s passage of Regulation Best Interest.

Thomas M. Bowers was the direct supervisor of Deutsche Managing Director Rosemary T. Vrablic, who has been named as the private banker involved in President Trump's business dealings with the bank.

Any challenge would focus on the RIA custody business, analysts said, even as CEO Walt Bettinger downplays their market position. 'Folks are running away a little bit with these assumptions around percentage of RIA...

The accusations against Texas-based Brett Pittsenbargar follow Woodbridge owner Robert Shapiro’s guilty plea earlier this year.

Chris Behrens, the president and CEO of YA, will officially join the Chicago-based wealth management firm on Jan. 1.

You Invest Portfolios, which launched in July of this year, will require a minimum of $500 after a previous minimum of $2,500.

The brother/sister duo are forming High Note Wealth after leaving Northwestern Mutual, where they collectively managed $500 million in client assets.

The duo's victims include a 77-year-old retiree who invested about $1.1 million.