HeyJaredPatrick Donachie
- Indexed articles, last 90 days
- 60
- Latest publication
- Oct 1, 2026
- Outlet visibility, for yahoo.com
- Top 1K sites
- Earliest in this view
- Jul 7, 2026
Latest articles
Advisors Weigh Risks of 351 Conversions Amid IRS Guidance (opens the original)
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One expert warned that advisors touting Section 351 conversions for tax purposes should reconsider recommending the strategy. Regulators are warning investors and advisors to follow the spirit, not the letter, of the law when recommending certain ETF-related conversions that are increasingly used in tax strategies, according to industry compliance experts. Overall, advisors and investors who use 351 conversions to move portfolios of assets into an ETF as a diversification strategy (while continu
OpenAI Agents Probe SEC Site, Raising Alarm on Security (opens the original)
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The news that OpenAI agents posted publicly available SEC information on an online forum is prompting compliance experts to stress the need to close regulatory gaps. There’s been no shortage in reports of artificial intelligence agents breaking free of their confines to the surprise and dismay of the companies that created them. The latest came last week, when The New York Times reported that OpenAI autonomous agents broke out and probed several government websites, including the Securities and
SEC Charges Two Firms With $15M WhatsApp, Crypto Frauds (opens the original)
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The commission alleges Cryptoaiml and TSAI were based overseas. In one case, fraudsters allegedly used WhatsApp to lure investors into a crypto scheme, while another falsely claimed it'd used client funds to buy AI-powered trading bots. The Securities and Exchange Commission suspects several business entities are fronts for dual international fraud schemes that bilked at least $15 million from investors via WhatsApp and other social media platforms. The complaints against Cryptoaiml and TSAI wer
FINRA Bars Former LPL Rep Over Client Fund Theft (opens the original)
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According to FINRA, Rudy Anguiano allegedly transferred funds from two clients to a separate account for his own LLC. LPL reimbursed both customers in full after discovering the misconduct. Regulators have barred a former LPL Financial registered representative, alleging he took over $1.7 million from two customers’ accounts and placed it in an outside bank account he controlled. FINRA alleged that between July 2023 and August 2025, Rudy Anguiano transferred funds from the LPL accounts into the
SEC Fines Zoe Financial $450K Over Conflict Issues (opens the original)
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The RIA didn't disclose conflicts tied to its wealth platform, which incentivized referrals to advisors using the service, regulators said. Zoe Financial, an RIA offering referral services between advisors and potential clients, didn’t disclose conflicts of interest related to its own wealth platform, according to the Securities and Exchange Commission. The agency regulator settled charges against the New York-based firm, which acquiesced without admitting or denying the charges. To settle the c
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