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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Which firms showed “meaningful progress” in improving client experience? And which one slipped?
April 11 -
HighTower and Dynasty added big platform clients as wirehouse brokers continued to flee.
April 10 -
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Awards and settlements are piling up even as the U.S. wealth management unit reports record profits.
April 5 -
The firm’s chief received a nearly 60% raise in 2016, dwarfing the compensation of several rivals.
April 4 -
The former Barclays broker still owes more than $460,000, a FINRA arbitration panel ruled.
April 4 -
A FINRA arbitration panel decided that an amendment to the adviser’s bonus loan is “unenforceable.”
April 3 -
At least 27 brokers have joined the firm, including a father-son team from UBS with $261 million in AUM.
March 30 -
A federal judge issued a restraining order and a temporary asset freeze against the former broker.
March 28 -
Commission-based investors want to keep their accounts, regardless of the fiduciary rule.
March 28 -
Big firms are asking for more time, while investors and even some advisers are asking the Labor Department to keep the rule intact.
March 27 -
At least 16 advisers have shuttled between the wirehouse firms so far this year.
March 24 -
Five new firms have joined Dynasty’s outsourcing platform this year amid a rivalry with HighTower.
March 22 -
The regional broker-dealer has added at least 19 advisers from wirehouse firms so far in 2017.
March 21 -
HNW investors and their planners shun the tax-advantaged savings accounts, according to a study.
March 21 -
The firm also granted its new chief stock options worth $4.8 million following a debt refinancing.
March 20 -
Nearly 60% of investors would explore changing firms if forced to switch, according to a J.D. Power study.
March 20 -
The regional firm has added at least 17 ex-wirehouse advisers in the first three months of the year.
March 16 -
Market forces have wrought changes that can't be repealed, according to champions of the rule.
March 16 -
The regional broker-dealer has added at least a dozen ex-wirehouse advisers so far this year.
March 15
