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.