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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Two major hybrid RIAs using LPL as their brokerage are joining forces after the acquiring firm received an investment from Merchant.
March 16 -
The veteran journalist explains how he has adjusted quickly to a new beat and his plans for the series in future months.
March 16 -
The financial literacy, savings and investing app for kids has received investments from several NBA stars and giants such as Fiserv and U.S. Bank.
March 15 -
The brokerage sustained a net loss of hundreds of brokers last year after a pause in hiring during the coronavirus, according to its annual report.
March 14 -
Worden Capital’s barred CEO allegedly had an “oral agreement” with a private placement issuer that he didn’t disclose to the firm’s brokers or its clients.
March 11 -
The regulator didn’t provide any explanation for the much larger payout, but it did release another similar settlement the following day.
March 11 -
Arbitrators granted the wirehouse damages for payment of a promissory note but slammed the conduct of a “management-level employee.”
March 10 -
Inroads CEO Forest Harper and other organizers of new internship and training programs insist a long-term shift is now possible.
March 10 -
The same trends upending other industries offer opportunities for advisory practices to get ahead of the competition.
March 9 -
Louis Barajas and David Russell discussed their views on how wealth managers can work with and hire more Black and Hispanic advisors and clients.
March 9 -
OU’s law school enlisted a former player from one of its fiercest rival schools to help students understand how to avoid the pitfalls of misconduct.
March 7 -
Akshay Singh’s Indyfin seeks to give more independent practices access to client leads and the potential opportunity of online reviews.
March 3 -
Despite industry criticism, the regulator’s ongoing wave of cases has expanded into allegations that wealth managers breached their duty of best execution.
March 3 -
The firm and a former rep recommended a course of actions that helped the wirehouse and hurt the customer, according to the FINRA arbitration case.
March 2 -
With practices innovating in the way that they engage with clients and prospects, some may be missing out on business opportunities.
March 2 -
The advisor failed to disclose the low-interest loans he received from a fraudulent crypto securities issuer in exchange for selling the products, investigators say.
March 2 -
The CEO and board member Dani Fava stepped down from a startup that has helped more planners gain familiarity with digital assets.
March 1 -
Alex and Rosa Chalekian, along with their three sons, have launched a new subscription service providing education and coaching.
February 28 -
Purshe Kaplan Sterling Investments didn’t adequately review thousands of leveraged ETF transactions, according to Massachusetts state regulators.
February 27 -
A trio of advisors dropped Wells Fargo as practices choose between staying with wirehouses or joining the RIA movement.
February 25
