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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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 -
The settlements pose an impact to the firms accused of neglecting their Form CRS, but not to giant wealth managers bracing for stronger enforcement.
February 24 -
Retirement plans that shift the approach away from the traditional can reap the rewards, according to experts in an EBRI webinar.
February 23 -
The former Hightower and Morgan Stanley executive shares how the major fee-only RIA views the record-setting M&A marketplace.
February 23 -
The Synergy RIA Compliance Solutions founder shares how advisory practices can handle the most important regulatory tasks when going independent.
February 16 -
A former Chase bank-based financial advisor won the arbitration award as critics say giant brokerages abuse U5 termination disclosures.
February 15 -
The shareholder, Engine Capital, is seeking support for former LPL executive Andy Kalbaugh and two other nominees to the board of Blucora.
February 14 -
With a track record of nearly 40 years, the first Black-owned money manager is unveiling new collaborations and getting praise from members of Congress.
February 14 -
Board members and executives from FSI share updates on its legislative agenda, their thoughts on private equity investing and insights into other key industry topics.
February 11 -
About 20% of FINRA client arbitration awards are unpaid every year, but there are signs that the former First Standard clients could receive some restitution.
February 11 -
The firm that helped dozens of practices go independent is using the tactic most often deployed by its previous main rivals.
February 10 -
Rapidly growing multifamily office Cresset and similar firms have been adding advisors in droves even as wealth managers take them to court.
February 9
