Ann Marsh

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.

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.