Ann Marsh

Former Convergent Chairman Steve Lockshin offers his take on events and issues surrounding the suicide of his friend, ex-Convergent CEO David Zier.

The three founders of Concord Equity Group Advisors, a firm LPL bought in 2011 after the RIA allegedly hid commissions from its institutional clients, settled with the SEC.

'It's mayhem' at firm, an ex-advisor says, following CEO David Zier's suicide.

2 advisor teams, Foran Financial Group and Sweatt & Walters, leave for Raymond James Financial Services.

Planners offer their guidelines for helping wealthy clients accomplish more good with their money.

CPA/advisory firm BKD Wealth Management adds Wolf Financial Management, after a deal between the two parent companies.

Competitors are 'welcome to call' clients, says new CEO Douglas Wolford, who replaced David Zier after the latter's suicide -- but none have left, he says.

Convergent CEO David Zier's death followed inquiries into his management of an outside fund, according to Chairman Steve Lockshin.

The IRS has released its new contribution levels for tax-deferred savings plans in 2015 -- and the higher dollar figures may mean more to clients right now than in other years, says CFP/CPA planner Karl Schwartz.

Ex-LPL advisor Jeb Bashaw's new job falls through; trial lawyer says problems stemmed from private placement sales.

The nation's biggest independent B-D announced that it expects to incur greater-than-expected charges of $23 million in its third quarter due to regulatory matters.

Former insurance company advisor's 30 victims included friends he had grown up with, according to prosecutors.

Fidelity expects giving to Ebola relief efforts to continue to rise; offers advisors tips for advising client charitable strategies.

In tapping a discharged LPL broker, broker-dealer Wunderlich Securities could face 'reputational risk' and legal headaches, observers say.

CFP Board drops investigation into activist planner after he drops CFP certification.

The deal will help Gratus Capital Management 'turbo charge' growth, says Focus cofounder Rajini Kodialam.

One Morgan Stanley CFP uses her bankruptcy to build bridges to her clients and hone her practice.

The list includes 20 CFPs with bankruptcies dating back to March 2009; none are subject to disciplinary action.

The Foundation for Financial Planning and Give an Hour discuss partnership to deliver planning interventions for service members and veterans.

Fidelity is urging firms to "tone down" sales aspects of planning jobs when trying to recruit new Gen Y advisors, raising the hackles of at least one fiduciary expert.