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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Gary B. Gross faces nine counts of sexual exploitation of a minor and the loss of CFP credential after he said he stumbled on old files.
January 24 -
Research firm Cerulli reports that investing in private equity, real estate and other alternatives was up 23% in 2022.
January 20 -
A survey by the Financial Services Institute finds most independent planners would rather set up RIAs than become direct employees of large firms.
January 19 -
Deloitte Financial Corporate's settlement over recordkeeping allegations probably would have been bitter had the company not cooperated.
January 17 -
The new year brings new regulations and the end of grace periods from federal and self regulators.
January 13 -
FINRA warned brokers in its latest annual report about not being fully up to speed with the client-care rule.
January 11 -
Moisand thinks a panel for reviewing financial planners' professional standards could be in place by mid-2023 but that their work could take years to complete.
January 10 -
The Federal Trade Commission's proposal would not extend to non-solicitation clauses, which are far more common among brokers and advisors.
January 6 -
Behind the broker-dealer regulator's proposed changes to its system for resolving disputes lies a lawyer's long-simmering feud.
January 5 -
Portfolio reviews and retirement contributions are at the top of to-do lists of Morningstar, AARP and industry groups.
January 2 -
Some think planners need to be more forthcoming about how much of their investing work is being entrusted to third parties.
December 29 -
Christopher Parris also pleaded guilty to fraudulently trying to sell COVID masks to the U.S. government and private businesses.
December 28 -
Government watchdogs propose more oversight amid collapse of crypto and falling markets.
December 27 -
Even before the collapse of FTX, concerns about cryptocurrency and other risky investments were keeping regulators busy.
December 26 -
Comments on FINRA proposal question of difficulty of getting meritless customer complaints erased.
December 22 -
Industry advocates worry the federal agency's proposed rule would undermine the business model that allows advisors and broker-dealers to act independently.
December 19 -
The Wall Street regulator's Regulation Best Execution would require firms to go to extra lengths to ensure they're getting the best deals for customers.
December 16 -
The eight defendants in the federal investigation stand accused of making more than $100 million from manipulating stocks on social media.
December 14 -
For financial planners working with digital assets, the key to staying on regulators' good side is to 'disclose, disclose, disclose.'
December 13 -
Speakers at the Crypto for Advisors conference said that as crypto questions come up more often, financial advisors need to prepare themselves
December 12
