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 ban comes amid heightened regulatory scrutiny of firms' messages on services like WhatsApp and posts on social media sites.
May 15 -
The Wall Street giant distinguishes its custody service by being a pioneer in allowing private equity, private credit and similar investments to be used as collateral for loans to RIA clients.
May 14 -
A newly proposed rule would require firms to verify customers' ID information and check it against government lists of terrorists and criminals.
May 13 -
The mammoth coup far outpaces other recruiting deals of recent memory.
May 10 -
Despite the apparent decline, the independent broker-dealer giant remains one of the leaders in advisor recruiting and merger and acquisition deals.
May 10 -
The federal banking regulator agrees that the former employees' claims against the failed regional bank don't belong in FINRA arbitration.
May 9 -
Arbitration panels and courts have already shown openness to arguments that deferred compensation is protected under federal retirement law.
May 8 -
Sixteen advisors argue the megabank owes them more than $270 million over false promises they were made when being recruited.
May 7 -
Executives at the Zurich-based bank say $27B in net new assets for the first quarter put the firm well on its way to its wealth management goals.
May 7 -
Industry experts who track comings and goings at large firms say the advisor staff figures often obscure more than they reveal.
May 4 -
Citizens has been on a recruiting and acquisition tear in recent years. Tom Metzger, the recently appointed head of the bank's private wealth unit, says it's just the beginning.
May 3 -
Nearly one out of three advisors at independent broker-dealers has thought about going solo in the past year, a new survey finds.
May 2 -
Here's what advisors at the $2 million production level can expect to earn at large and regional firms
May 2 -
Advisor advocates say they are beginning to look to civil courts and other FINRA alternatives to get erroneous customer complaints removed from their clients' online records.
May 1 -
You'd think making $1 million a year for your firm would be considered a lot. But advisors at that level last year have to bring in a bit more to maintain their take-home pay.
May 1 -
Our continued look at compensation for advisors at different revenue levels considers pay for $600,000-a-year producers.
April 30 -
Wireshouses continue to put the squeeze on advisors at the lower end of the revenue-generation scale.
April 29 -
Many advisors will have to produce more this year to make the same take-home pay as last year, Financial Planning's annual analysis finds, with low producers under pressure to move up the revenue ladder or move on.
April 29 -
The Wall Street giant has been moving away from providing in-house retail investment advice to finding ways it can support smaller firms.
April 26 -
The U.S. Chamber of Commerce and other business groups contend the Federal Trade Commission has exceeded its authority in nullifying contracts that prohibit employees from switching jobs to competitors.
April 24
