Ann Marsh

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.

Focus begins new international push by adding Montreal firm.

With just hours remaining before the April 15 deadline, here are last-minute strategies worth considering.

New Hampshire wants LPL to pay $3.6 million in a fine, other costs and restitution, following millions LPL already has paid to FINRA and Massachusetts.

Focus Financial expand into Southeast with family-owned firm that has $600 million in AUM but no succession solution.

Outlook for the planners -- who were recruited with a promise that they would "not [be] required to sell" -- seems to depend on whether you talk to Northwestern Mutual or LearnVest.

The $6 billion RIA seeks exponential growth by trading one private equity investor, Lovell Minnick, for another, Genstar Capital

John Lipari and Richard Ribek say they chose Raymond James' "client-first culture."

CFPs cite real estate downturn, outside business failures as triggers for financial troubles.

As fiduciary debate heats up, Garrett takes advantage of presidential spotlight to tell advisors to sign a fiduciary pledge.

After 18 years with LPL, veteran advisor Edward Metz leaves for more personalized service at the smaller BD.

As policy payouts soar to record levels, LTC industry professionals worry that advisors are falling short -- and offer up a few facts, forecasts and trends they think advisors should pay attention to.

After the company combines its custodian and clearing businesses and launches a new tech division, advisors should be alert to any service changes.

John Carroll affiliates with hybrid RIA Independent Financial Partners and partners with retirement division Pensionmark.

Conrad Siegel Investment Advisors's parent company serves defined benefit and 401(K) plans. Executives at those client firms became the clients for the advisory spinoff.

Over two years, the number of $1 million-plus accounts jumps to more than 72,379 as a result of sustained saving efforts.