Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
FINRA Panel Orders Advisor to Pay Ameriprise $383K
By Dinah Wisenberg BrinAmeriprise accused the advisor of a "brazen scheme" to take account information to his new RIA.
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.
May 23, 2025
Financial Advisor Conferences in 2025: An Evolving ListDozens of industry conferences and events are on tap this year, with the biggest events hosted by custodians.
May 22, 2025
Advisor Gets 10 Years in Prison for Stealing $2M From Elderly ClientsJulie Anne Darrah convinced clients "she would take care of them in their older years like a daughter," authorities said.
May 22, 2025
Ex-Osaic Advisor Who Accepted $1M Bequest From Client Faces Fine, SuspensionThe advisor didn't notify his firm or receive approval to accept the bequest, according to FINRA.
May 21, 2025
6 Secrets Clients Keep From AdvisorsWhile not intended to derail financial plans, these omissions can hinder tailored and effective planning.
May 20, 2025
Schwab Debuts Program to Help Advisors Start Their Own RIAsSchwab Advisor ProDirect, opening in July, aims to help advisors go independent and grow their firms quickly.