Ann Marsh

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.

These firms reported the highest share of accounts topping $100,000.

A clear path has emerged after historic revenue drops among the top independent broker-dealers.

See which independent broker-dealers outpaced their peers at the top line.

There must be a fully realized transition strategy, says Tim Chase, co-founder of WMS Partners.

The firm says its external backup system failed at the same time its main internet connection was cut, raising concerns.

The regulator skips creating a fund for investors with unpaid arbitration claims, despite raising hopes that it might.

Sometimes, the best way to keep control is to relinquish it.

The adviser allowed her disabled sister to die of untreated bedsores, according to the D.A. It’s the first known such case involving a CFP, says the CFP Board.

The regulator now has punished just one known person associated with the bank's admitted nationwide fiduciary violation: the RIA who flagged abuses.