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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Retired investor Tracy Driver alleges he was encouraged to put millions into a now delisted media company and then lost more through unauthorized sales of "prized" shares in Nvidia, Microsoft and Alphabet.
June 5 -
Randy Anderson worked as a broker for nearly 25 years without a complaint before being accused of making unauthorized trades by a client who, his lawyer says, actually ended up saving money.
June 5 -
Investor advocates and others worry that recent changes to who can serve on FINRA panels will exclude arbitrators most likely to be sympathetic to ordinary investors.
June 4 -
Brian Mora, senior vice president of experienced advisor recruiting, thinks Ameriprise has the antidote to the high dropout rates seen in most industry training programs.
June 3 -
UBS continues to lose larger advisory teams after making changes to compensation policies last year. Meanwhile, Ashton Thomas and LPL both score advisory teams.
May 30 -
Even without net new assets, the firm's assets under management and administration were pushed upward by market gains.
May 29 -
With more than $8 billion in assets under advisement, Simon Quick can comfortably serve high net worth clients. And it's managed to get there without private equity.
May 27 -
Also this week, LPL picks up teams from Cetera and Ameriprise and Stifel draws from Merrill
May 22 -
Regulators discovered Julie Darrah had been siphoning millions from elderly clients after WEG bought her practice in 2021.
May 21 -
The broker-dealer alleged that a FINRA arbitration panelist who helped hand down the landmark penalty should have recused herself after reaching a similar conclusion in a case involving the same embattled broker.
May 20
