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 lawyers representing the claimants in a recent FINRA arbitration case say they have scores of clients still seeking to secure pay they contend they're owed after departing for another firm.
April 3 -
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 -
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 -
Financial advice is a crowded field. Experts offer techniques to find new clients and distinguish your business.
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 -
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
