Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Training Program for New Advisors Tops 2,000
By Janet LevauxAmplified Planning’s 2025 Externship program has 2,078 enrollees; over 42% are women.
June 10, 2025
Fired Edward Jones Advisor Wins a Cleanup of His RecordThe explanation for Matthew Hawk's dismissal on his Form U-5 was defamatory, a FINRA arbitrator ruled.
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
FSI Launches Next-Gen Career WebsiteFinancialCareers.org is an online career center that connects qualified job seekers with firms.