Ann Marsh

FINRA plans to add 1,000 new arbitrators this year to improve its troubled dispute resolution process, but offers few new details on some of its largest challenges.

CEO Wayne Bloom says the threat of lawsuits in the wake of the new regulation prompted the change, which could be a first among IBDs.

One of the sanctioned advisers has 26 disclosure events listed on his FINRA BrokerCheck record while remaining in good standing with Ameriprise.

Paul T. Lebel excessively traded shares that carried large front-end loads and "willfully disregarded the customers' interest," the agency said.

News that LPL may be looking for suitors comes at a time of financial pressure for the country's largest independent broker-dealer.

The country's largest IBD is said to be exploring strategic alternatives, which may include shopping itself around for buyers.

Trio separates from mega-RIA Arnerich Massena to form new firm using tru Independence.

Relura Horton, former regional managing director at Fidelity Custody and Clearing, hopes to attract more women clients to her new firm.

The long-running battle by two CFPs against the board comes to an abrupt end.

The first-ever case of its kind is putting other broker-dealers on notice about the regulator's enhanced abilities to identify patterns of abuse.

The regulator has filed a complaint against whistleblower Johnny Burris, who has filed multiple cases against one of its largest member firms, JPMorgan.

The Institute for the Fiduciary Standard says the SEC and CFP Board have failed to define true client-first service. It aims to fill that gap with a new list.

Only 18% of RIAs refrain from these key conflicts of interest, a new study by the Institute for the Fiduciary Standard found.

Lincoln Investment will gain 350 advisers in its acquisition, which CEO Ed Forst foresaw 20 years ago.

Charles Augustus Banks called San Antonio Spurs player Tim Duncan's claims against him "naïve and immature" last year. Now the former RIA is under indictment by a federal grand jury and faces SEC charges.

The boutique firm focuses on ultrahigh-net-worth entrepreneurs worldwide.

The public has a right to review the board’s documents, husband-and-wife planners Jeffrey and Kimberly Camarda say.

Decision expected in appeal of case brought by advisers the board says called themselves fee-only inappropriately.

"Given all of the turmoil there, you need to have some consistency in leadership and [Roth] was it," one expert says.

Is Roth on his way out?