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 legal action also alleges Mark Lamkin's former associates conspired behind his back to prevent him from leaving with his clients.
March 14 -
Industry recruiters still wonder if the regional firm's new recruits bring the experience needed to replace the experienced teams that have been leaving.
March 13 -
A pair of former wealth managers contend they were yelled at and suffered other retribution after raising concerns about sharing clients' information without their knowledge.
March 8 -
The wealth management giant is the latest firm seeking to give investors access to private vehicles that have generally outperformed their public counterparts in recent years.
March 7 -
The Financial Services Institute continues to push for a return to a Trump Administration rule it contends offered clarity in employment questions.
March 6 -
Coverage providers have come to expect that some clients will find fault with their advisors during down markets, whether the blame is warranted or not.
March 5 -
Barry Sommers comes in for high praise amid his firm's attempts to move beyond the banking scandals of its past.
March 1 -
RBC Wealth Management is using technology to sift public records for financial or other signals that clients may have come into money or are looking to transfer assets held away.
February 29 -
A lawyer says the industry has been on notice at least since the "Boom Boom Room" scandal of the 1980s that hostile workplaces won't be tolerated.
February 28 -
An industry report finds the largest independent brokerage, with its supported independence offering, had the biggest net headcount gain last year.
February 27
