Ann Marsh

Known for his advocacy for planning at all income levels, Paré wants the FPA to expand its membership to 24,000 and beyond.

Critics say the practice of using non-attorneys, some with criminal records, to represent investors often makes their problems worse. Advocates say it's cheaper.

Concerned about the wirehouse's "trajectory," Glen D. Smith sought out a business model his kids could join one day.

Client data should be walled off behind sufficient protections.

"Sunlight is the best disinfectant," investor advocate says of regulator's move to keep disciplinary problems in public view.

A group of attorneys raises concerns about extensive industry ties among FINRA’s public board members.

“Your risk of being audited goes up,” says RIA powerhouse Ron Carson.

The board metes out punishment against planners Jeffrey and Kimberly Camarda after they unsuccessfully sued the board.

Regulators want advisors' social media addresses to help them identify audit targets, one expert says.

Recent criminal charges parallel another case brought by the SEC against the broker.