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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A brokerage client's portfolio was gradually invested almost exclusively in the fund manager WisdomTree over a decade.
August 22 -
James Tuminello argues in court documents that he only reached out to clients he formed with relationships before joining the large wirehouse.
August 18 -
Missouri requires brokers who recommend investing on environmental, governance or social principles to sign statements saying they "are not solely focused on maximizing" returns.
August 16 -
Despite the slight decline last year, researchers expect global growth of 38% by 2027.
August 15 -
Many advisors use real estate investment trusts to hedge against inflation while also providing steady dividend income. But private funds still provoke skepticism.
August 15 -
A lawyer representing advisors warns the new rule will drive the forum fees of arbitration hearings well above $10,000.
August 14 -
Advisors and brokers rarely put up fights when a former employer comes for loan paybacks as successes are few and far between.
August 11 -
CG Advisory Network's move comes less than a month before the transition of clients from TD Ameritrade is scheduled to take place.
August 9 -
Employees at 11 firms, some ranking as high as senior executive, stood accused of using WhatsApp and similar services to conduct business in violation of recordkeeping rules.
August 8 -
The proposal to replace in-person inspections still drives a wedge between investor advocates and brokerage industry groups.
August 7 -
Matchmaking services offer the promise of lead generation without the hassle of cold calling. But do they deliver?
August 4 -
The move comes amid predictions that clients will increasingly base wealth management decisions on online testimonials and ratings.
August 2 -
The independent RIA looks to the Wall Street stalwart for its expertise in alternative investments.
August 1 -
A prominent compliance consultant lists the top reasons firms turn to outside experts for regulatory assistance.
July 31 -
The Wall Street regulator is targeting technology that offers advice that might be against clients' best interests — even if advisors are unaware of the conflict.
July 26 -
Naratil thinks Lightyear Capital can offer the capital and expertise firms need on their way to IPOs.
July 25 -
The large RIA will rely on the new relationship for loans against private and illiquid investments and other specialized services.
July 24 -
The head of private wealth management in the Americas says he was once skeptical of the idea of the "great wealth transfer." No longer.
July 21 -
Advisors identified the SEC's new marketing rule as the "hottest" regulatory topic for the third year in a row.
July 20 -
The Wall Street giant struggles amid plans to rely less on its own balance sheet and more on fees from managing others' investments.
July 19
