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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CEO Robert Cook has launched a task force and started assessing his own actions, he said in a panel at the Quad-A Vision conference.
September 16 -
More than 60 million Americans could receive slightly higher benefits next year, according to a nonpartisan advocacy group’s new projection.
September 15 -
Threats to the program are multiplying and the coronavirus pandemic is accelerating a reckoning, according to a new analysis.
September 9 -
The firm’s National Financial Services allegedly failed to deliver certain basic information to clients in five public offerings of shares in a fuel cell technology company.
September 8 -
Sales are tumbling and gravitating to different products as Wells Fargo settles a FINRA case and researchers examine the defunct fiduciary rule.
September 3 -
The advisor sold securities out of one account to buy a Camaro ZL1 — then resold the car to the same victim, the regulator alleges.
August 31 -
The president has deferred payroll taxes that fund the program, and says he would eliminate them if elected to a second term.
August 27 -
Lower transaction costs can often come with higher expense ratios at the nation’s largest IBD.
August 26 -
From regulations to taxes, big changes could be in the offing.
August 20 -
Focusing on “investment in leadership and access to markets,” the IBD aims to support reps and clients of diverse backgrounds, its head recruiter says.
August 18 -
The father-son practice with two other advisors switched their affiliations after its founder had spent 18 years with New York Life.
August 18 -
The latest roundup of news in the IBD and RIA channels comes in a time of economic turmoil and big transactions.
August 14 -
During Andy Kalbaugh’s tenure with the No. 1 IBD, its headcount grew by more than 50% to nearly 17,000 reps.
August 14 -
One of the largest professional designation and training schools launched a program to award free tuition to at least 25 students in the next year.
August 11 -
With higher compensation offers and a track record of independence, the No. 1 IBD is “challenging the status quo,” its head recruiter says.
August 7 -
The No. 1 IBD revealed new details of its W-2 affiliation after it followed rivals into the employee channel with an acquisition it made last year.
August 5 -
The independent broker-dealers big enough to serve the most financial advisors enjoy advantages but face distinct challenges.
July 31 -
The latest roundup of 32 IBD affiliation moves, M&A deals and expert studies reveals the mixed impact of the coronavirus.
July 24 -
The list shows how firms of all sizes face a pivotal balancing act in seeking to recruit and retain advisors.
July 20 -
Northwestern Mutual’s practices raise difficult questions about the nature of retail advice just as wealth management faces greater scrutiny under new rules.
July 17
