Ann Marsh

Focus Financial facilitates a three-way marriage of family office veterans who plan a bicoastal growth strategy.

By taking a 6.3% stake in LPL, activist investor Marcato Capital is expected to push for big changes, as it has at public companies such as BNY Mellon and Sotheby's.

The industry regulatory organization remains close to hitting a historic high on financial penalties. Regulator is focusing on "bread-and-butter type issues," says expert, who expects more cybersecurity and anti-money laundering fines.

Lure of large trust department, bank name recognition, more persuades five advisors in Redondo Beach, Calif., to switch.

The advisor opted not to fight FINRA, saying the allegation against him is without merit.

Steve Dunlap is one of at least six top leaders who have lost jobs at Cetera or its troubled parent, RCS Capital, during last ten months.

The independent Fidelity division can never be the same without its founder, but could still grow into a juggernaut, some planners say.

Edmond Walters's departure takes Fidelity by surprise, and throws plans for eMoney Advisor Summit next month into disarray.

Serving as an RCS Capital director proved too great a distraction from Larry Roth's role as Cetera CEO, a regional Cetera leader says.

Historically private on recruiting specifics, LPL hopes to attract new advisors by publishing names of advisors who've just joined.

Marzano Capital Group joins LPL-affiliated recruiting firm Independent Advisor Alliance.

The government aims to reduce the "magnitude of the injury" to clients from conflicted advice, Timothy Hauser, the official who chaired the hearings on Capitol Hill, tells Financial Planning.

A "cautionary" note on the third day of hearings after DoL officials quiz industry attorney in the slippery task of trying to ascertain details of common commission sales.

Critics: DoL fiduciary rule would harm investors; Advocates: Americans' "retirement savings are being depleted by conflicts of interest every day."

The five-advisor team gives the roll-up its first offices in South Carolina.

After "deep consideration" and despite legal obstacles, Kimberly and Jeff Camarda say they still want to right "grave wrongs."

A year after they teamed up with the goal of building a $1 billion firm, the two best-selling authors split; "That is how life goes sometimes," Edelman says.

Michael Shaw, who left the board amid turmoil over its disciplinary process, could end up working for former investigatory targets with new consulting gig.

After 17 years with LPL, planner says the large B-D's service dropped off.

"This disturbs me to the core," Sheryl Garrett says after FINRA election; new FINRA leader says his views were distorted.