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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The case is the latest to emphasize advisors' obligations to let investors know when they receive money for recommending certain mutual fund products.
April 2 -
The team builds momentum for the firm's recruiting efforts in the West.
April 1 -
Some wealth managers see themselves as playing a distinct role in helping investors navigate the treacherous waters of private equity, credit and real estate.
March 21 -
Alison Nest says wealth managers can play a particularly useful role in helping investors navigate the intricacies of private equity, private credit and similar investments.
March 20 -
Paul Reilly is scheduled to hand the reins to his chief financial officer Paul Shoukry next year.
March 19 -
Financial advice is a crowded field. Experts offer techniques to find new clients and distinguish your business.
March 19 -
It's not that most firms lack distinct services and a distinct character. It's that so many are bad at conveying these traits to potential clients.
March 19 -
Regulators contend two firms falsely advertised themselves as the first to apply artificial intelligence to investment recommendations.
March 18 -
Jeff McMillan will be in charge of marshaling the firm's investments in artificial intelligence to drive efficiency.
March 15 -
Industry lawyers think the watchdog agency may be handling low-level missteps through informal means and saving the big fines for violations that harm clients or undermine markets.
March 14
