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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The quartet of advisors picked the nation’s largest IBD out of the increasing number of suitors available to ex-employee practices.
April 12 -
Financial advisor Hannah Moore and more than 60 presenters are expanding access to instruction and networking for aspiring and underrepresented advisors.
April 12 -
Amanda Daugherty accused the wealth manager of gender-based discrimination and unlawful termination.
April 8 -
The principal for operations and strategy of an independent research firm explains the range of available products and ESG data.
April 7 -
The 37-year veteran advisor’s settlement with FINRA is the latest phase of a two-year saga involving a father-son team at an Indiana practice.
April 6 -
The deal to buy Wealthstreet Investment Advisors marks half a dozen since the RIA roll-up received a PE investment last year.
April 5 -
One former rep is responsible for more than 80% of the firm’s sales of the defunct LJM Preservation & Growth Fund.
April 1 -
The change will affect continuing education immediately and certification examinations starting in March 2022.
March 31 -
Anthony Diaz began the sentence immediately after a hearing in which a victim said he should “rot in hell” for the felonies.
March 30 -
Impact investment manager Rachel Robasciotti and other advocates say the private proceedings are harmful to victims and helpful to firms protecting serial harassers.
March 29 -
Keith Beverly, one of a handful of Black CFP-CFA holders, is pushing to mint more.
March 29 -
In new academic research, experiments involving selections of YouTube videos shed light on the psychology of conflicts of interest.
March 26 -
The brokers are offering their practice management lessons and resources as scale becomes increasingly crucial to wealth managers.
March 24 -
After obtaining documents through FOIA requests, FP’s Jessica Mathews explains the larger industry implications of one firm’s internal investigation.
March 24 -
The wealth managers paid victims restitution prior to one barred rep’s guilty plea and another one’s sentencing.
March 23 -
Experts say financial advisors can stay compliant with their BD while tapping into the leads and new clients attracted by quality web pages.
March 19 -
Ancora, which previously took on Bed Bath & Beyond and Big Lots, argues the company suffers from poor leadership.
March 17 -
The broker allegedly spent his client’s money on luxury items then pivoted to a Medicare fraud scam a couple of years later.
March 16 -
Two experienced private equity investors in wealth management struck a deal for a minority stake in one of the industry’s biggest names.
March 15 -
Three recent criminal cases raise concerns that wealth managers and regulators aren’t detecting alleged fraud quickly enough or disclosing basic information about crimes and disciplinary problems.
March 12
