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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Bans on working at brokerage firms don't lead to prohibitions on acting as an RIA as often as one might think.
December 12 -
The restructuring is further evidence of the megabank's commitment to adding to its stable of branch-based advisors.
December 8 -
Some think lending to businesses outside the banking system can reap outsize rewards for advisors who are willing to do their homework.
December 7 -
Higher earnings potential but short careers for top-class athletes continue to warrant special attention from planners.
December 6 -
A new report finds that contract clauses forcing investors' cases into private forums too often stack the deck in favor of firms.
December 5 -
Amid industry crackdown, some say they are beginning to see a way forward for digital asset firms that want to stay on the right side of the law.
December 1 -
The fine arises from market manipulation committed by a pair of former employees over the course of nearly seven years.
November 30 -
A lawyer representing hedge fund manager George Jarkesy argues the dispute could be solved simply by letting defendants choose to take their cases to regular courts.
November 29 -
Brian McDonald, head of Morgan Stanley at Work, spoke with Financial Planning about how the firm aims to extend its roots in Silicon Valley and build on equity compensation offerings.
November 27 -
The broker-dealer regulator's proposal would fall in line with similar leeway granted to advisors under the SEC's marketing rule.
November 21
