Dan is a business journalist who previously worked for various local newspapers and industry publications. He also worked for two years in Beijing as an editor at China Daily. A graduate of the University of Missouri-Columbia, he has written about banking, local governments and the legal profession, among other subjects. He now covers how politics, policy and regulation affect the financial planning industry.
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Regulators accused UBS of not doing enough to monitor 22 brokers who generated commissions and sales concessions of syndicate preferred stocks.
December 19 -
While at Schwab, Roberto Ortega worked with clients whose accounts held more than $1.5 billion. A lawsuit seeks to bar him from soliciting their business for his new employer.
December 18 -
The standard-setting group is mulling increasing continuing education requirements and requiring that CFP aspirants have certain types of financial planning-related experiences, among other changes.
December 17 -
The case stems from Raymond James' recruitment of the $2.8 billion Wise Advisor Group from Baird, which also landed a penalty for a broker protocol violation.
December 16 -
The rival firms will pay for a forensic consultant to preserve evidence of transferred confidential data while they await FINRA arbitration.
December 16 -
The deadline is fast approaching for brokerages to register home offices for employees performing supervisory functions.
December 13 -
Homrich Berg also acquires a $6.4 billion RIA and Hightower takes a stake in an $800 million advisory practice.
December 13 -
Scott Burnett and Peter Kelson, formerly of Zions Direct, plan to work mainly with public entities, corporations, foundations and endowments.
December 12 -
Mike Durbin on Cetera's M&A plans, why consolidation will barrel forward in the wealth management industry and the advantages of having a hybrid firm.
December 11 -
Critics of mandatory arbitration say it can go against investment advisors' fiduciary duty to always do what's best for clients.
December 10
