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.
-
The Senior Citizens League worries the increase won't be enough to keep up with rising prices for housing and healthcare.
June 14 -
Financial advisors say they can help combat the flow of misguided and misleading recommendations by posting more frequently and establishing more of a social media presence.
June 13 -
The former relationship manager has pleaded not guilty to allegations he blew money from client accounts on bad stock bets.
June 9 -
The former advisor faces as many as 10 years in prison for stealing roughly $1.7 million from relatives' brokerage accounts to pay for trips, cruises and other personal expenses.
June 8 -
Dennis B. Levine, a central player in the 1980's most notorious insider trading scheme, benefits from the regulator's fix, but so will some everyday financial planners.
June 7 -
Industry groups question the wisdom of regulators seeking to have one rule on data breaches for broker-dealers and another one for advisors.
June 6 -
The SEC case is the latest to highlight the risks investors run when they get involved with "blank check" companies.
June 2 -
Proponents of the House of Representatives legislation argue that new regulations often fall disproportionately on financial planners that don't have formal compliance and legal departments.
June 1 -
As the head of nationals sales, Simmons will oversee the firm's recruiting efforts.
June 1 -
Federal officials have long warned of the dangers of accounts with few guardrails on what they can invest in.
May 31 -
The finance giant's reorganization plan comes amid push to double advisor headcount by 2026.
May 25 -
A survey from the FINRA Foundation and CFA Institute finds that cryptocurrency and individual stocks remain popular with the younger crowd.
May 24 -
The case is the latest arbitration decision showing risks advisors run when they jump ship and think they can take investors with them.
May 23 -
The banking giant plans to put all asset managers through training in Python programming language, whether they 'like it or not.'
May 22 -
Although most advisors and brokers see both pros and cons to operating outside the office, few are ready to abandon their new schedules.
May 19 -
FINRA argues that brokerage representatives should have the ability to keep information about private residences out of public databases.
May 18 -
Panelists at the self-regulator's annual conference list instances when they should document the reasons for the investment advice.
May 17 -
For the first time, the brokerage's self-regulatory body is citing the 3-year-old rule as a reason to remove a firm from the industry.
May 12 -
Joseph DeGregorio promised a 13% return on promissory notes that never existed.
May 11 -
A bill before Congress would let planners with certain securities licenses place clients' money in private markets regardless of their income or net worth.
May 10
