Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Ex-Merrill Broker Faces Disciplinary Process Tied to Trading, Sales Practices
By Dinah Wisenberg BrinAli Chehab wouldn't provide documents, FINRA alleges, and told staff: "I do not care if I get barred."
August 04, 2025
Why Good Advisors Stay Too LongIt's easy for successful professionals to fall into traps that keep them from pursuing new opportunities.
August 04, 2025
Advisor to Lace Up for 24-Hour Hockey MarathonMitlin Financial founder Larry Sprung and one of his sons will participate to raise money for a suicide prevention group.
July 31, 2025
Eagles Team Up with JanneyThe two Philadelphia-based groups will focus on promoting conversations about the importance of financial planning.
July 30, 2025
Ex-Raymond James Advisor Barred Over Probe Tied to Elderly ClientsAfter 26 years in the business, Meredith Archer failed to testify about whether she misappropriated client assets.
July 28, 2025
FINRA Bars Ex-Northwestern Mutual Employee Over Faked Exam ScoreWillnard Love lied to his firm about passing the Securities Industry Essentials exam, the regulator found.
July 25, 2025
Advisor Charged With Conning Venezuelans, Others in $94M Ponzi SchemeSeparately, the SEC accused Andrew Jacobus of swindling clergy and Catholic groups of $3.2 million.
July 25, 2025
8 Ways to Talk Business With FriendsThey're far from strangers, so offering guidance risks affecting personal relationships — making it a prospecting challenge.