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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Agency's critics say many companies still see their settlements as a cost of doing business.
November 15 -
CFP Board is seeking to preserve "adversarial principles" in proceedings before its disciplinary and ethics commission.
November 14 -
Financial professionals do a good deal of sleuthing tracking down old retirement accounts for clients.
November 11 -
Despite investors' anxieties, financial professionals rarely see political contests as reasons for big changes in portfolio strategies.
November 9 -
The justices' decision in SEC v. Cochran could ultimately reduce the power of administrative law judges over advisors and broker-dealers.
November 8 -
Although planners may not have fiduciary duty to protect older clients, many see it as an ethical obligation.
November 4 -
Though an oft-cited index shows that 16 non-traded REITs gained 71.1% over the past five years, regulators appear unimpressed.
November 2 -
Taking effect on Nov. 4, new advertising standards will allow client testimonials and bring together prohibitions on false and misleading language.
November 1 -
Shareholder documents, now at least hundreds of page long, will have to limit themselves to portfolio, performance and expense information.
October 27 -
An industry group contends that the commission is overestimating RIAs' control over outsourced services.
October 26 -
In a twist, recent class actions blame 401(k) advisors for not putting investors' money into higher cost, better performing investments.
October 21 -
The sustainable investing industry sees state policies as the biggest threat to investing that's meant to further environmental, social and governance goals.
October 18 -
Supporters of panel credit it for collecting data on firms' C-suites, boardrooms. But it's unclear if Republicans in charge would walk away from the efforts.
October 17 -
Advisors are telling recipients not to get used to such large adjustments.
October 13 -
Industry representatives fear DOL misclassification rule will lead to costly court battles
October 12 -
Although putting money into alternative assets is already legal, some hesitate to do it because of perceived legal pitfalls.
October 6 -
Republicans are unlikely to see eye-to-eye with Biden on fixes for major social programs if they retake Congress in November.
October 4 -
A dual Romanian-U.S. citizen has been fighting an IRS contention that he owes $2.7 million for failing to submit FBAR forms.
October 3 -
The changes reflect an effort to give penalties more teeth, similar to what the regulator did last year with Robinhood's $70 million fine.
September 29 -
Federal regulators found violations at all levels of the Wall Street banks and financial services firms.
September 27
