Ann Marsh

Royal Alliance, SagePoint Financial and FSC Securities "willfully violated" securities law and breached their fiduciary duties to clients, the commission says.

Serving the ultra wealthy is not all it's cracked up to be, advisors find.

Will golden handcuffs keep planners, or have they had enough?

Deferred compensation funds totaling "less than $100 million" have been excluded from collateral in the RCS Capital bankruptcy, RCS says.

Departed executives could inflict ‘irreparable’ harm on Cetera Financial Group as parent RCS Capital goes through bankruptcy, suit says.

Few investors receive arbitration awards, PIABA says, while proposing a national recovery pool.

One impersonated a client, another grabbed client funds via ATM withdrawals and a third stole from a nonprofit, FINRA says.

Brokers' clients received letters from LPL that implied he stole money, over a $20,000 loan he had repaid, lawyer says.

The former broker turned consultant to planners was in financial straits, his wife told police.

The exit comes a month after Cetera filed for bankruptcy, and after the IBD said it’s having trouble with advisor retention.

One of the largest firms on the West Coast, Aspiriant expects to continue merging with one to two firms a year.

Michael Kitces, who helped launch XY Planning Network, says he wouldn't be surprised if the market evolved to include hundreds of similar groups of young planners serving young clients. "We have 200 advisors and there are 80 million millennials."

Filing expected Sunday; advisors expected to receive distributions through retention packages.

After an abrupt exit from industry, Brown returns and reveals plans for the country's largest woman-run IBD, along with Lightyear's Donald Marron and Advisor Group's Erica McGinnis.

Roll-up also adds $50M AUM Harvest Group Financial Services.

The Obama administration wants to ensure its plans can withstand congressional opposition before the president leaves office, experts say.

In its second acquisition in a year, EP Wealth lands woman-owned RIA on its way to its growth target of $5 billion in AUM.

Sargent Bickham Lagudis has assumed the name of the smaller firm, Colorado Financial Management.

After his roller coaster ride with troubled RCS Capital-owned Cetera Financial Group, Steve Dunlap returns to his entrepreneurial roots.

M&A deals in the fee-based RIA space to hit about 250 this year and double by 2019, Tiburon predicts.