Ann Marsh

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.

Firm relaunches as Aretec – Cetera spelled backward; new owners are undisclosed.

Judge’s decision paves way for the Cetera subsidiary’s IBDs to move past RCS troubles; retirement benefits are unaffected, judge says.

Strategies for advisers looking to get the most out of their pay packages, according to two leading industry experts.

As Cetera parent RCS Capital moves toward bankruptcy emergence, the IBD will shutter two smaller IBDs, leading to likely loss of unknown number of advisers.

Keeney Financial Group plans to leverage Triad affiliation to grow, firm founder says.

Vanguard founder John Bogle and the DoL's Phyllis Borzi support an investor bill of rights.

The recruit says the firm's fiduciary business model was a draw.

Concerns about the new fiduciary rule helped propel the move, along with a drop in LPL service, an adviser says.

Rejection is unsurprising and RCS plans to contest objections by Nicholas Schorsch-affiliated entities, says David Orlofsky, RCS' chief restructuring officer.

Louis Martin Blazer III allegedly stole $2.35M from clients through his concierge firm Blazer Capital Management.

In a succession play, Advisor Financial Services gets snapped up by Retirement Advisors of America.

Exclusive: N.J. Democrat discusses opposition to the fiduciary rule and its likely influence on advisors and the industry.

Exclusive: Top Labor official says, “If we think there is some continued abuse that hasn't been adequately addressed, we'll figure out what to do."

“A great win for the middle class," a proponent says, as others note the changes already occurring at planning firms.

Labor Department event planned for next week.