Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Ex-Advisor Gets 8 Years for Bilking Clients, Widowed Aunt
By Dinah Wisenberg BrinScott Mason of Pennsylvania had pleaded guilty to misappropriating $17 million.
June 06, 2025
SEC Says Advisor Defrauded Clients on FeesDavid A. Nagler and his firm allegedly overcharged clients and levied "consulting" fees without their knowledge.
June 05, 2025
FINRA Panel Orders Advisor to Pay Ameriprise $383KAmeriprise accused the advisor of a "brazen scheme" to take account information to his new RIA.
June 03, 2025
BNY Rolls Out New Products, Services at Insite EventIts new programs include UMA tools, an advisor network and banking account services for investors.
May 30, 2025
Some Affluent Investors Still Prefer Commission-Based AdviceAccommodating different preferences can create a lucrative pipeline for turning self-directed customers into fully advised clients, Cerulli suggests.
May 28, 2025
Two Client Couples Sue Advisor Over Risky StrategiesThe advisor recommended triple-leveraged ETFs and let an algorithm panic-sell clients' stocks, the suit alleges.
May 27, 2025
Navigating the Shifting Broker-Dealer Landscape: What Advisors SeekAmid industry consolidation and misaligned interests, advisors prioritize stability, control, culture, and client focus in their BD partnerships.
May 27, 2025
FSI Launches Next-Gen Career WebsiteFinancialCareers.org is an online career center that connects qualified job seekers with firms.