Ann Marsh

Most advisors don’t have required safeguards in place, one expert says.

Bottom line retail pressures may have tripped up the top executive, one expert says.

The door has closed for public comments on the board’s propositions. While some industry heavyweights commended them, critics call out contradictions.

William Michael Jordan, who co-founded a popular all-woman rideshare service in Southern California, agrees to industry bar.

The mishandling of the two former employees’ complaints, detailed in documents and by former OSHA officials, raises questions about the government’s treatment of whistleblowers throughout the financial services industry.

John helped found the coalition between the board, NAPFA and the FPA.

A clinic at the University of Georgia has offered free advice through a variety of methods for almost a decade.

Judy Volkmann, founder of the FPA’s New York chapter, helped launch a college program connecting hundreds of mentors with students.

"Banks traditionally pay higher valuations, but [RIAs] should go into deals with eyes wide open," Dave DeVoe says.

Firms still rely heavily on commission income despite drops last year.

The agency plans to split the award between just two people who reported the bank’s product-pushing tactics.

If it’s undertaken, the appeal case will not be completed before Banks is scheduled to begin serving his 4-year sentence next month.

The engine of future growth for the top independent broker-dealers is likely to be fees.

Some predict the new standards will push more planners to drop their CFPs.

"You're going to turn around," a federal judge instructed advisor Charles Banks, "and you're going to talk to all these people that you have caused pain for, face to face."

None of the FP50 are close to equalizing their ranks of men and women.

Implementation of fiduciary rule could drive more IBDs to seek safe harbor with large partners.

Even as the board seeks stricter fiduciary rules, there are concerns about loopholes on conflicts and commissions.

One of the fastest growing RIAs in the industry, Mercer Advisors expands its tech expertise by bringing aboard Dave Welling, of financial software firm SS&C Technologies.

Although revenue fell for the FP50, most firms upped their AUM.