Megan Leonhardt

Megan
Leonhardt

Megan Leonhardt is senior editor for WealthManagement.com and REP. magazine, reporting on national brokerage firms and the independent advisor landscape, as well as regulatory updates, legal cases and compliance issues. Prior to covering the financial services industry, Megan worked as a legal reporter breaking stories on major law firms and writing on significant court cases all over the country.
 

Articles
Regulators Say Firms Need 'Reasonable' Data Safeguards
While there are not specific regulations around cybersecurity standards, the Securities and Exchange Commission and the Financial Industry Regulatory Authority are on the lookout for firms not operating under a "reasonable standard."
Compensation Survey 2015: The Slowly Disappearing Commission
Running a fee-based business is better for clients, those advisors say. It’s also better for the advisor.
Compensation Survey 2015: Crunching the Numbers
The industry has come a long way in embracing a fee-based business.
Compensation Survey 2015: Where Advisors Earn the Most
Where you live matters, especially when it comes to compensation. Check out in which parts of the country advisors are earning the most, according to WealthManagement.com's annual compensation survey.
Brokerage Heads Promise Improved Disclosures

Disclosures may be mandated by regulators, but investors rarely understand these documents completely. But firms are working to close this gap. 

Congressman Supports FINRA as RIA Regulator 3
A House Republican on Thursday recommended the Financial Industry Regulatory Authority examine registered investment advisors, saying he was exploring legislation that would provide the self-regulator with the authority to do so.
FINRA Proposes Amended Broker Compensation Rule

The Financial Industry Regulatory Authority released on Wednesday new regulations aimed at enhancing investors understanding the impact of their broker changing firms, almost a year after the  regulator withdrew an earlier version of the proposal that proved highly controversial

FINRA Reproposes BrokerCheck Link Rule
FINRA released an updated proposal Wednesday that would require broker/dealers to include a link to BrokerCheck on their websites.
FINRA CEO Criticizes DOL Fiduciary Proposal

The head of the Financial Industry Regulatory Authority pushed back against the Department of Labor’s fiduciary proposal on Wednesday, saying the industry needs to move forward under a  “best interest standard” for broker-dealers under the securities laws.

Advisors With Heart Awards 2015: Jonathan Wilds Smith
Each year, Jonathan Wilds Smith spearheads a community effort to decorate homes and yards with hundreds of lighted Christmas balls - benefitting the Shine the Light on Hunger Food Drive.
Lasting Wealth Among Billionaires Under Siege
With 60 percent of the world’s billionaires over the age of 60, wealth preservation is top of mind. But generational dilution of wealth, geopolitical issues, social tension and the inevitable taxes loom large as potential threats to long lasting wealth.
RIA Suing SEC Hit with Fraud Charges
The Atlanta-based investment advisory firm who challenged the Securities and Exchange Commission’s use of internal administrative proceedings has been officially slapped with fraud charges by the regulator.
FINRA Needs Next Gen Talent Too
Industry efforts to attract young talent have been fragmented and slow-going. But the industry’s regulator is having its own problems recruiting next generation professionals.
NFL Wife Sues deVeres for Sexual Harassment
A former female employee is suing deVere Group for sexual harassment, claiming its New York investment advisory business operated like the bad boy brokerages seen in Boiler Room and Wolf of Wall Street.
DOL Extends Fiduciary Comment Period By 15 Days 1
The Department of Labor has agreed to extend the public review period on its fiduciary proposal by 15 days, according to a memo sent by agency staff on Friday.
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