Ann Marsh

These investment advisories paid the price for passing along performance data faked by a third-party manager.

The country's largest independent broker-dealer says compliance with the new fiduciary rule will offer competitive advantages.

This in-house position helps one firm attract larger clients and build contractual relationships with descendants.

The firm says it has put regulatory fines in its rearview mirror, has invested in tech upgrades and has devoted resources to helping advisers adapt to the DoL fiduciary rule.

In a rare interview, Andrew Ceresney reveals the commission's beefed-up efforts, and what advisers should know.

Nicholas Mitsakos allegedly used the funds to pay his credit card bills and make payments on his Mercedes, authorities charge.

After taking away CFPs' right to sue the board, it makes two concessions to critics. Still, the process points to governance problems at the board, Michael Kitces says.

Former Philadelphia Eagles player Merrill Robertson Jr. funded "luxurious" lifestyle with life savings of football coaches, complaint says.

Retired air traffic controller and former FPA president Richard Salmen was named to a one-year term in 2018, succeeding Blaine Aiken.

Nascent partnership at largest female-run IBD ends as Erica McGinnis leaves top spot. Expect more heads to roll, one expert says.

The leading IBD cut a top consulting division that catered to its largest firms and set up potential conflict between groups of advisers: those in and out of OSJs.

RIAs snag annual FP Pro Bono Awards for innovative programs.

Wells Fargo's independent arm landed seven recruits in its latest efforts to add more than the 102 advisers recruited from competitors last year.

The alleged wrongdoers transferred client money to their wives’ accounts, the commission says.

Two firms were fined over $100,000 for not disclosing nearly $5M in loans to clients.

Firms and brokers would contribute to a pool to compensate investors who were defrauded but are unable to collect, according to one recommendation.

The approaching milestone represents growth of about 30% in the past 9 years.

After predicting a strong recruiting year, Wells' independent advisory arm attracts planners from LPL Financial, UBS and U.S. Bank.

The firm filled out its senior management ranks with LPL's Jeffrey Buchheister, who said that he is joining the firm at a "watershed" moment.

A new partnership between ex-wirehouse advisors and a retirement plan consultant will use "gratitude boards" to focus discussions on important issues in clients' lives.