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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Amid industry crackdown, some say they are beginning to see a way forward for digital asset firms that want to stay on the right side of the law.
December 1 -
The fine arises from market manipulation committed by a pair of former employees over the course of nearly seven years.
November 30 -
A lawyer representing hedge fund manager George Jarkesy argues the dispute could be solved simply by letting defendants choose to take their cases to regular courts.
November 29 -
Brian McDonald, head of Morgan Stanley at Work, spoke with Financial Planning about how the firm aims to extend its roots in Silicon Valley and build on equity compensation offerings.
November 27 -
The broker-dealer regulator's proposal would fall in line with similar leeway granted to advisors under the SEC's marketing rule.
November 21 -
The proposals would let firms sign up for a pilot program to test remote branch inspections and require less frequent in-person exams of supervisors' home offices.
November 20 -
Pondering her firm's future on walks during the pandemic, the founder of an independent RIA decided she needed a bigger partner.
November 17 -
Firm CEO sees benefits in acquisitions rather than recruiting, in part because they allow for "client continuity."
November 16 -
The Wall Street regulator shows strong interest in preventing relatively new forms of technology from being misused in ways that can harm investors.
November 15 -
With trillions in assets likely to be handed down in coming decades, financial planners shouldn't wait to establish rapport with investors' children.
November 14 -
A pair of advisors caught up in long-standing recruiting litigation will lose money from an earlier FINRA award in order to pay penalties to their former employer.
November 13 -
Some argue the standard-setting organization could be doing more to expel 'bad apples' from the industry.
November 10 -
With interest rates likely to level off, wealth managers who leave their clients in cash could miss out substantial long-term gains.
November 8 -
Even with an exodus from the acquired firm, the Zurich-based bank managed to pull in $22 billion in net new client money in the third quarter.
November 7 -
NASAA, PIABA and stock exchanges argue the demise of the self-regulator would leave an unfillable hole in securities regulation.
November 6 -
Despite recruiting efforts, firms have struggled to bring in new blood, making retention more important than ever.
November 3 -
The inquiry into Wells Fargo comes at a time when clients can often secure much better rates of return through money markets and certificates of deposit.
November 2 -
Legal experts think these challenges to the agency's constitutionality, virtually unthinkable a decade ago, now have a chance of success.
November 1 -
Some think the firm needs to become better known if it's to reach its growth goals.
October 31 -
A well-known business owner and advocate for the elderly now stands accused of stealing $2.25 million.
October 27
