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 office of supervisory jurisdiction is seeking to avoid any further potential disruption from M&A deals, its founder says.
January 5 -
The 20-year industry veteran serves athletes and entertainer clients and he has an app and video series called “Mind. Body. Money.”
January 5 -
While the giant wealth manager has won the balance of 23 decisions so far, it’s facing a wave of cases seeking hundreds of millions in damages.
January 4 -
A veteran of three decades of fee-only planning is merging into one of the largest firms as it expands in the Cincinnati market.
January 4 -
The midsize wealth manager racked up millions of dollars in sales of an alternative product without adequate due diligence, according to FINRA.
January 3 -
The 30-year veteran with tenures at AARP, two professional sports leagues and three large financial firms shares the major industry vendor’s plans.
December 29 -
A self-reporting program on 529 plan share classes yielded five more settlements, and wealth managers agreed to pay a combined $15 million.
December 24 -
Local companies and organizations can spread capital much better than global corporations and institutions, according to practitioners in the field.
December 22 -
The traditional brokerages have yet to relinquish their leading share of client assets, according to a new Aite-Novarica Group report.
December 22 -
LPL Financial reeled in the largest haul, but RIA consolidators and other rivals also completed mega-moves in 2021.
December 21 -
Private Advisor Group received capital from Merchant, while Integrated Partners has recruited nearly a dozen practices this year.
December 21 -
The regulator’s frequent reviews display shortcomings in three different areas, according to a new GAO report.
December 17 -
The orders from FINRA and the SEC respectively fault the firms for unsuitable rollovers and deficiencies exposed in a microcap scheme.
December 16 -
Former rep Edward L. Turley has at least five other pending arbitration cases seeking more than $62 million in damages.
December 16 -
A broker and a sales associate from his office face separate cases that have resulted in at least $1.18 million in payouts from their former firm.
December 15 -
The 15-year veteran advisor explains how she identified and built her practice’s base of clients.
December 15 -
The wirehouse aims to retain more advisors with changes it says will reduce complexity and boost incentives for growth.
December 14 -
The U.S. brokerage arm of the Swiss bank must pay damages under a FINRA arbitration case otherwise found to be ‘clearly erroneous.’
December 13 -
A new report from the House Financial Services Committee offers the first ever glimpse into the demographics of the largest fund companies.
December 10 -
Schwab Advisor Services says many advisory firms have yet to deploy some documented best practices to boost their business.
December 9
