Ann Marsh

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.

Former Edward Jones advisor says he left for the freedom to own and market his own eponymous firm as he wishes.

Edmond Walters is seen as bringing deep fintech expertise to rebranded company.

In contentious Senate testimony, White fended off accusations that the regulatory body has dragged its feet. Again, she did not offer a timeline for implementing a fiduciary rule from the SEC.

The nontraded REIT industry moved to introduce a new share class following tighter regulations.

The question a Cetera advisor says he never wanted to get from a client: "How come this is $88,000 instead of $100,000?"