Ann Marsh

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?"

Richard W. Davis also took $1.5 million in fees while he was entitled to just $150,000, the commission alleges.

The U.S. Chamber of Commerce, SIFMA, FSI and other groups are asking a Texas court to vacate the Labor Department's new regulations less than a year before the rule goes into effect.

Manhattan West Asset Management serves sports, music and entertainment clients, as well as pension funds.

The independent broker-dealer industry could lose a third of its brokers and many of its smallest firms, experts predict. What does that mean for survivors?

Some insiders at big brokerage firms encouraged the DoL to maintain progress. "That kept us going," Assistant Secretary of Labor Phyllis Borzi says.