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 regulator's latest staff bulletin also calls on planners at hybrid firms to always be clear about if they're wearing their broker or advisor hat.
April 21 -
In letters to the FTC, financial planners contend that noncompetition and nonsolicitation provisions can leave them 'handcuffed' to bad firms.
April 20 -
Regulators accused the investment tech company of costing customers millions of dollars by not reducing their capital gains liability.
April 18 -
Investor advocates argue that Massachusetts was within its right to hold broker-dealers to a higher standard.
April 17 -
Researchers find that performance expectations are highest among people who invest in environmental, social and governance causes for moral reasons.
April 14 -
The SEC is moving forward with regulations that broker advocates argue could make it nearly impossible to have online complaints purged.
April 13 -
The revisions come two weeks after the broker-dealer regulator made changes to a rule to loosen in-house inspection requirements for residential offices.
April 12 -
In setting up a breakaway firm, a group of advisors tried not to step over lines when recruiting colleagues and clients. But a lawsuit argues they still went too far.
April 11 -
The information is technically out there, but FINRA critics contend the regulator should be doing more to make the public aware of advisors with dubious pasts.
April 6 -
The last-minute changes would loosen inspection requirements but add limits to the type of business brokers can do from home.
April 5 -
The $2.4 billion request for the Wall Street regulator would put 1,434 officers on the compliance beat, up 4% from seven years ago.
April 4 -
The SEC and DOJ accused a New Jersey-based broker of using insider knowledge to make more than $3.4 million from a scheme involving special purpose acquisition companies.
April 3 -
The case shines light on the risks of betting against a company's stock when merger or privatization deals are afoot.
March 31 -
Compliance experts say financial advisors who boast publicly about their investment prowess should make sure they have support for their claims.
March 29 -
In an unusual case, regulators have accused a Boston investment advisor of violating his fiduciary duty by putting his clients into high-fee retirement products.
March 21 -
The annual advertising splash by the standard-setting group for financial advisors coincides with the March Madness basketball tournament and tax filing deadline.
March 20 -
An advisor group warns the cybersecurity regulation is coming amid a flurry of proposals that could leave firms buried.
March 17 -
Employees of the collapsed bank are using LinkedIn, and old-school means, to find new jobs.
March 16 -
Headhunters are finding that many employees of the cratered bank's wealth management arms are waiting to see what happens to the parent firm before plotting their next moves.
March 15 -
The panel plans to take through 2024 to complete its 'everything's-on-the-table' review of experience, education and exam standards.
March 13
