Practice

Peter H. Sargent explains why he chose Janney. A 20-year veteran and top producer at Merrill, Sargent boasts $250 million in client assets.

While planners may know what different client segments they serve, too often they aren’t using that information to change their practices accordingly, says Matt Matrisian, director of practice management for Genworth Financial Wealth Management.

LPL Financial has appointed Joan Khoury, a former Merrill Lynch Wealth Management executive, to the role of managing director and chief marketing officer.

FINRA is seeking input regarding changes it is weighing with respect to BrokerCheck. The proposed changes prompted a swift and strong response from readers on Financial Planning’s discussion boards.

The new regulations follow a model that the North American Securities Administrators Association passed in December.

State Street’s SPDR Morgan Stanley Technology ETF MTK announced that it had received a $108,328 payment from a class action settlement related to Juniper Networks, Inc. The SPDR has slightly more than 2.7 million shares outstanding, meaning that the payment will translate into just over 4 cents of gain per share.

BATS Global Markets said the SEC's Division of Enforcement is looking at its methods for developing new order types as well as how it develops its information technology systems.

The Commodity Futures Trading Commission voted to approve new rules governing, among other things, when swaps dealers can delay reporting on the size and price of their block trades.

Fidelity Investments reported that its sales of defined contribution plans to small- to medium-sized firmst grew 40% in 2011, reaching commitments of $6.6 billion in assets by year’s end.

Here’s an interactive slide show detailing five advisors who have already found themselves in the SEC’s crosshairs this year.