Ann Marsh

Marcato Capital has sold more than 1.6M shares so far in January, according to an SEC filing.

Beleaguered RCS Capital to give details of an advisor retention plan by Jan. 8

Stockholders lose out, bondholders to control company.

It’s not easy being one of the largest RIA firms in the nation. The leaders are doing everything it takes to lure the right talent, grow their practices and remain truly independent.

FINRA's system for ensuring the integrity of advisors’ BrokerCheck records is broken but can be fixed, securities lawyers and other experts say.

Despite a ban, firms still offer clients money to not fight brokers' bids to purge their public records, lawyers say.

Fired adviser Johnny Burris complained the firm forced him to sell unsuitable products to clients, long before it acknowledged to the SEC it “violated the federal securities laws.”

Regulator could make some "immediate" changes; arbitration reform advocate says he's "hopeful."

It’s rare that advisors leave the Christian-oriented independent firm, a spokeswoman says.

Some question whether the CFP’s election of fi360’s Blaine Aikin as 2017 chairman is beneficial or potentially harmful to constituents.