Dan is a business journalist who previously worked for various local newspapers and industry publications. He also worked for two years in Beijing as an editor at China Daily. A graduate of the University of Missouri-Columbia, he has written about banking, local governments and the legal profession, among other subjects. He now covers how politics, policy and regulation affect the financial planning industry.
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The arbitration award comes amid the industry's aggressive push to make sure departing wealth managers pay back money owed on recruiting loans.
8h ago -
Firms that haven't been afraid of generous recruiting offers have shown the greatest growth in recent years.
July 8 -
David Kelly of JPMorgan thinks investors can safely navigate private markets — provided they work with the right managers.
July 3 -
Huntington Investment Company is accusing a former advisor of resigning with no advance notice and then using confidential information to drum business from ex-clients.
July 2 -
With rate cuts still on the horizon, some advisors wonder if it's time to look for returns beyond high-yield savings and money market accounts.
June 28 -
The high court ruling deals a serious blow to a system that critics contended had allowed regulators to act as proverbial judge, jury and executioner.
June 27 -
As more portfolios come to rely on alternative investments, expertise in sorting out good from bad opportunities is becoming more critical.
June 27 -
LPL accuses its rival of hindering "competition in the financial services space" through its "cynical" attempts at frightening advisors into staying put.
June 25 -
The Atlanta-based independent broker-dealer thinks some advisors will always feel ill at ease at big firms that keep getting bigger. That's where it sees its opportunity.
June 24 -
The latest legal challenge to the firm's "cash sweeps" policies argues advisors violated their fiduciary duties by not procuring higher yields for clients.
June 20
