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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In an annual release, law firm Eversheds Sutherland finds the broker-dealer self-regulator's total number of enforcement actions increased last year, even as its fine haul fell.
March 11 -
Also this week, Captrust scoops up a $1.4 billion RIA, and Mercer Global adds a head of M&A.
March 7 -
The dispute shows Edward Jones has become emboldened in taking legal actions against advisors perceived to have inflicted harm on its business interests by leaving for another firm, one industry recruiter said.
March 6 -
John Hicks, the chief marketing officer of Ausdal Financial Partners, sees his firm's lack of private equity ownership as a big part of its appeal.
March 5 -
A group of nine claimants said they lost millions after the UBS broker Andrew Burish recommended they place bets that Tesla shares would decline in value.
March 3 -
The president of the firm's Private Client Group also discusses why advisor headcounts don't mean much anymore and how private equity owners of wealth management firms may have trouble realizing their value propositions.
February 28 -
Also this week, Cetera closes on its purchase of Concourse Financial Group, and Raymond James appoints a head of AI.
February 27 -
RBC's firmwide net income skyrockets despite rising costs, even as its advisor headcount holds steady.
February 27 -
The hiring comes roughly a month after Ida Liu resigned and the firm embarked on a regional restructuring.
February 26 -
U.S. District Judge Susan Brnovich found Ameriprise failed to furnish evidence that data taken by a recently recruited advisory team was going to be used to solicit their clients to LPL.
February 26
