Ann Marsh

Wells may have settled with former employee Claudia Ponce de Leon because it wanted to avoid the "massive exposure" of a jury trial, an expert says. It is unclear how the agreement will affect Wells’ other cases.

Cornerstone Capital founder Erika Karp says sustainable investing can "repair" capitalism and predicts it will become mainstream in the future.

A working financial planner assumes leadership of the board as its influence in Washington and nationwide hits a high mark.

'It wouldn't have happened without Focus,' the Colony founder says, adding that the aggregator has supercharged growth for his firm across seven deals.

Hanson McClain and Simply Money plan to leverage complementary traditional and social marketing skills in bid to build national planning firm.

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.

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.