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N.Y. adopts first rules for lawyer links

August 20, 2001

New York has become the first state to adopt rules governing alliances between lawyers and other professionals, including investment advisers. But it's not yet clear whether certified financial planners will be allowed to form such alliances....

Investment banker to head CFP Board

July 16, 2001

After a six-month search, the Certified Financial Planner Board of Standards has a new leader. The Denver board last week announced that it has named investment banker Louis Garday chief executive, effective Aug. 1. And yes, he plans to become...

Dissidents hit FPA, form group

June 18, 2001

A year and a half after a major merger united most financial planners, a splinter group is sowing dissension in the ranks. Armed with a laundry list of complaints, nine disaffected advisers who hold certified financial planner designations are...

Closing Quote

June 18, 2001

"You can't expect any organization to do 100% of what you want it to do, unless you're the only member." CFP Morris Armstrong, on the splinter group challenging the Financial Planning Association as the profession's voice before the CFP Board. Page 1

Short Interests: PaineWebber exec fills hole for Swiss

May 14, 2001

Swiss banking giant UBS AG is looking to its U.S. subsidiary, UBS PaineWebber, for lessons in how to build its European network of financial advisers. The company is looking to hire 250 financial advisers each year over the next three years,...

CFP Board publicly censures 15 planners

May 7, 2001

More than a dozen certified financial planners received a public censure last month from the Certified Financial Planner Board of Standards. Ten permanently lost the right to use the CFP mark, five received a suspension, and one received a letter...

Global adviser standards gain everywhere but here

April 2, 2001

Efforts to establish a global standard for financial planning are advancing, but not all planners are cheering them on. In the latest turn, the Geneva-based International Standards Organization, working with the Certified Financial Planner Board...

AT ISSUE: No longer involved with First Financial

April 2, 2001

I was very saddened by your article on First Financial Planners Inc. ["First Financial under a cloud: Still no buyer," InvestmentNews, March 12]. It did not upset me to see your rehash of FFP's regulatory issues in 1999-2000. That was discussed...

The Power 25 Elite: Dede Pahl

March 19, 2001

Age: 52 Interim president, Certified Financial Planner Board of Standards Inc. in Denver Power play: Ms. Pahl took the reins of the CFP Board in August after several years on its staff. The CFP Board will spend up to $6 million in the next two...

Despite decades of change, a gender gap persists

February 19, 2001

When Michelle Hoesly decided to make a career in financial services in the 1970s, she took a test to determine her suitability. She was asked whether she would rather play basketball or arrange flowers. The incident illustrates a huge gender...

In their own words: An opportunity to educate and to nurture a family

February 19, 2001

PATRICIA P. HOULIHAN age: 53 organization: Certified Financial Planner Board of Standards Title: Chairman I had a daughter, Keri, who died in 1983. She was 2. When that happened, I was really beside myself. It was a turning point in my life....

Closing qoute

January 8, 2001

"Perhaps we need to do some additional wordsmithing to clarify what the requirements would be." Elaine Bedel, chairman-elect of the CFP Board, on a controversial proposal pushing disclosure of dollar amounts of commissions earned and other details....

Commissioned planners demand new changes

January 8, 2001

Commissioned financial planners are fighting back. Stung by a proposal that would require them to provide more disclosure, some are retaliating by calling for more disclosure by fee-based planners. The retaliation exemplifies a deepening rift...

Goss: Advice website for the masses

October 23, 2000

Robert Goss, former president of the Certified Financial Planner Board of Standards, has landed at a dot-com by way of happenstance and design. Mr. Goss says that he has accepted a job as a vice president at, a Fremont, Calif.,...

CFPs to board: Defending our designation comes first

October 9, 2000

Among certified financial planners, one view is virtually unanimous: Whoever is picked to head their group had better protect the CFP mark come hell or high water. The CFP Board of Standards in Denver hopes to hire a search firm this week to...

Planner? Or certified planner?

October 2, 2000

Want the No. 1 job in America? Just hang out a shingle and call yourself a financial planner. Anyone can do it, and that troubles the people who certify planners after they pass a rigorous 10-hour exam. To make sure the general public knows...

A novel way to lower liability for pension advice: Hire advisers

November 15, 1999

Some experts in pension law advise that employers may actually reduce liability by hiring financial advisers to -- what else? -- give financial advice. Most employers who sponsor pension programs shy away from giving employees specific advice...


June 21, 1999

Heavyweight financial companies are lining up for a smile of approval from the Certified Financial Planner Board of Standards, but some CFPs fear the board is grinning too much as it tries to pick up membership. Not only would the board allow...


June 7, 1999

Like swallows returning to Capistrano, the National Association of Securities Dealers is returning to its well-worn theme that stockbrokers are dropping their registration in favor of becoming less-regulated financial advisers. And, as usual,...


May 31, 1999

The goal of unifying the country's two major financial planning associations finally was reached last week when members of the Institute of Certified Financial Planners overwhelmingly ratified their group's proposed merger with the International...

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