Ann Marsh

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.

Payment of back wages is ordered as well as reinstatement. A second reinstatement may also be in the works, Financial Planning has learned.

Charles Banks pleaded guilty to wire fraud related to loan refinancing for sports merchandising venture Gameday Entertainment.

"People like you ought to be held to a higher standard because you know better," a judge tells former adviser Charles Banks.

See how they stack up: It doesn't always take a large advisory staff to manage big money.

One planner says there's no reasonable basis for a delay, while another says he can't afford all the compliance costs.

The five-time San Antonio Spurs champion is willing to testify against his former longtime planner, according to the team's lawyer.

MarketRiders is the latest digital platform aimed at a specific minority investor community.

The layoffs are part of a shift of personnel to LPL Financial's South Carolina campus to cut costs and position the independent broker-dealer for future growth.

It’s the third wirehouse team to move to HighTower's outsourcing service this year.

AdvisorEngine's purchase of software firm Wealthminder is the first of what's expected to be another year of deals and investments into the wealth management fintech space.