Ann Marsh

A federal grand jury has indicted a former broker with Securities America and Investors Security Company on 16 criminal counts ranging from wire fraud to money laundering.

Incomplete BrokerCheck reports give investors a false sense of security, critics say; Some Google searches do better.

Two federal agencies have charged William Quigley, Trident Partners' ex-compliance chief, with using his position to defraud overseas investors.

In all, 81% of advisors surveyed said they used or recommended ETFs versus 78% who used or recommended mutual funds, according to an annual FPA survey.

Put affluent clients' annual contributions into an IRA and then convert it to a Roth on the same day, says Aspiriant's Ray Edwards.

Enhanced programs will likely include financial planners. The initiative follows earlier legislation prompted by a Financial Planning investigation.

New rules would bog down independent advisors in 'busywork' without producing enforcement gains, Brian Hamburger argues.

Three bank breakaways join two former colleagues who started the independent firm Standard Investment Advisors last year.

Tax advice focuses on reducing adjusted gross income, accelerating and decelerating income and other strategies.

Planners learn strategies for guiding soldiers and veterans on unique financial challenges.

The aggregator says a total of 55 firms have signed contingency agreements with its partner firms.

M&A deals pit rapacious firm founders against undervalued junior associates, reducing planners to "idiots" and "pubescent teenagers," new report says.

After several annual losses and FINRA fines, call center magnate John Sykes to sell JHS Capital to the country's second-largest IBD.

After selling Cetera for a rich $1.15 billion, Donald Marron's Lightyear Capital picks up a $4.7 billion hybrid RIA.

Buckingham, one of the largest firms in the Focus network, adds its eighth location with the New Jersey firm.

Lee D. Weiss of Family Endowment Partners put millions of client money into a quasi-Ponzi scheme, lawyer says.

There's a lot advisors can do -- and a lot they aren't doing -- to better serve vulnerable elders, according to a new report released jointly by SEC and FINRA.

The rollup's focus on "financial life management" and strong technology offering played roles in the deal, says United Capital Senior VP Matt Brinker.

Texas veteran Leroy Brown Jr. lured in soldiers and veterans with outlandish affinity fraud, according to SEC complaint.

Multifamily office CEO Joe Votava cites work conflicts and family issues in his decision, while critic suggests the Camarda lawsuit is driving off leaders.