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Other custodians are skeptical that financial planners want the tool in the first place.

Dan Putney is regional managing director of sales at Finastra, based in Lake Mary, Fla.

VP, Strategic Programs
Finicity

The employee and independent BD collected excess UIT commissions and failed to properly review inactive accounts, the regulator says.

Jacob Sattelmair is CEO of Wellframe.com, a firm that provides platforms and apps for health care providers and health plans.

The wirehouse is ballyhooing once below-the-radar hires. Now it should rejoin the Broker Protocol.

The firms broke with Climate Action 100+, a group of money managers overseeing more than $33 trillion, during this proxy season.

Frank Buytendijk is a Gartner Fellow in Gartner's Data and Analytics group, pioneering the topic of "digital ethics" and "digital society" helping organizations to do the "right thing" with technology and avoid "messing up." Mr. Buytendijk further covers data and analytics.In addition to his responsibilities at Gartner, Mr. Buytendijk is a visiting Fellow at Cranfield University School of Management, and a regular guest lecturer at Warwick Business School. Mr. Buytendijk has a solid history of his work being right on time or becoming relevant one to two years after publication.Examples include ethics/privacy in analytics (2012), embracing complexity (2011), management excellence (2009), behavioral performance management (2008), high-performance organizations (2005), collaborative decision making (2003), enterprise performance management (2002), business activity monitoring (2001) and BI/ERP (1998).

Don Korn is a freelance financial writer with expertise in taxes, tax shelters, investments, real estate, financial planning, retirement planning, estate planning, life and health insurance.

A New York PE firm makes a “significant” investment in the $16.5 billion consolidator.