Toby is a veteran journalist with more than a dozen years of experience in the field who joined Financial Planning in 2017 after prior tenures with the New York Daily News, Commercial Observer and City Limits. He earned an undergraduate degree in the humanities from the University of Texas at Austin and a master's degree in journalism from the Craig Newmark Graduate School of Journalism at the City University of New York. He has won a dozen business journalism awards during his time with Financial Planning, including those received for the 2020 podcast series "
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Adjustments to the organization’s sanction guidelines and procedural rules are the latest step in its ongoing enforcement overhaul.
July 28 -
The Robertson Stephens financial advisor discussed how marriages and relationships are changing during the coronavirus.
July 28 -
CEO Jim Cracchiolo acknowledged that the firm attracted fewer experienced reps in the second quarter, even as its headcount ticked up by 2%.
July 27 -
In a session at the industry trade group’s conference, planner Lazetta Rainey Braxton connected racial and financial literacy.
July 27 -
The trade group’s continued support comes with caveats as advocates for a stronger rule express hope that the Biden administration will change the 2019 regulation.
July 27 -
Nearly 100 clients Mata allegedly defrauded for $14.5 million have received paltry restitution after exhausting every possible method.
July 22 -
The massive hybrid RIA hired Ana Trujillo Limón in a bid to leverage media for practice growth and recruiting the next generation of planners.
July 21 -
A new high in loan volume and a notable influx of advisory AUM drove the wirehouse’s business to more than half a billion dollars in second-quarter net income.
July 20 -
The wirehouse is the latest firm to have its financial advisors called out publicly by the regulator for disregarding warnings about holding the ETNs for a long time.
July 19 -
CEO James Gorman says the company has created something new by adding Solium and E-Trade to its existing force of financial advisors.
July 16 -
Higher equity values and client activity pushed up the major custodian’s revenue in the second quarter, despite significant headwinds.
July 15 -
FINRA arbitrators decided not to hold the major custodian liable for transactions prior to 2008, an attorney for the clients says.
July 15 -
The expanding employee channel firm aims to support practice recruiting efforts and help usher in the next generation of advisors.
July 14 -
Kristin Kimmell brings decades of experience and notable success as the replacement to the former head recruiter promoted only last year.
July 14 -
Banks and other institutions are driving significant recruiting moves while aiming to convince more members and clients to sign up for financial advice.
July 13 -
Strategic buyers and consolidators like Captrust are driving a record pace in overall transactions and those involving sellers with at least $1 billion in AUM.
July 12 -
In J.D. Power’s annual survey, independent and employee reps gave wealth managers a higher satisfaction index than last year.
July 12 -
Former clients of Isaiah L. Goodman shared the financial losses and other harmful impact of the $2.3-million scheme.
July 6 -
The regulator’s annual industry snapshot and financial report offer a nuanced picture of wealth management’s most significant dividing line.
July 6 -
The two announcements hours apart came after at least 33 firms with $1 billion or more in client assets changed hands in the first quarter.
July 1
