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 organization overseeing the most prominent planning certification answers critics who say it’s falling short of its mission.
January 12 -
Raymond James resolved a million-dollar arbitration claim that won’t appear on anyone’s BrokerCheck, thanks to the panel’s decision.
January 11 -
Seeking to drive industry change through speaker lineups, Sonya Dreizler and Liv Gagnon launched a company called Choir.
January 11 -
The combination of technology and rising client interest in digital assets are ratcheting up the risks to investors, according to NASAA.
January 10 -
The boutique institution has 25 financial advisors, but it’s seeking to grow even larger through a deal with Summit Financial and Merchant Investment.
January 10 -
The wirehouse reached an agreement with an SEC-appointed receiver and a state regulator in connection with a massive EB-5 investment scheme.
January 7 -
After the unprecedented success of shareholder votes last year, activists are renewing their pressure on giant fund firms over racial equity.
January 6 -
A lack of awareness that web services are available turns out to be the most commonly cited reason for calling or visiting an SSA office.
January 5 -
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
