Megan Leonhardt

Senior Editor, WealthManagement.com

Megan Leonhardt regularly pens articles around the wonderful world of the wirehouses, as well as pieces concentrated on regulatory updates, legal cases and compliance issues. A business journalist with a background in the legal industry, most days she can be found contemplating the intersection of law, policy and finance. 

Posts by Megan Leonhardt

in Rulebook Dec 29, 2014

Wirehouse Advisors Gripe About, Increasingly Satisfied with Compliance

Despite constant and vocal grumbling, national brokerage and wirehouse advisors have steadily increased their satisfaction ratings of firms’....More
in Rulebook Dec 16, 2014

Busted: Alts Manager Taken Away in Handcuffs

Daniel Thibeault, a Harvard Business School graduate and president and chief investment officer of GL Capital Partners, was arrested last week and....More
in Rulebook Dec 09, 2014

SEC Examination Schedule Unlikely to Change. But Does It Need to?

Is it enough to simply examine RIA firms on a limited scope basis? It was a lingering question after a session with the MarketCounsel executive team....More
in Rulebook Nov 10, 2014

SEC Remains Undecided on Fate of Fiduciary Standard

The Securities Exchange Commission remains undecided on whether or how to move forward on a uniform fiduciary standard....More
in Rulebook Nov 05, 2014

State Securities Caseload Down Even as Jail Time Increases

State regulators’ enforcement actions were down almost 13 percent in 2013, yet the average length of incarceration for securities crimes more than....More

Half of RIAs Looking to Make a Deal

About half of RIAs are looking to make at least one acquisition this year, with succession planning and scalability acting as the biggest drivers....More
in Rulebook Oct 20, 2014

Is More Regulation Really Necessary to Protect Investors?

The Financial Planning Coalition is advocating for new regulatory standards for financial planners, contending new research shows investors are....More

SEC Commissioner: PIMCO Outflows Aren't Disrupting Markets

There’s no evidence that the recent turmoil at PIMCO caused any disruption in any of the underlying markets, Securities and Exchange Commission....More
in Rulebook Oct 02, 2014

FSI Responds to CARDS by Forming Task Force

FSI formed a task force of broker/dealer executives to analyze and respond to FINRA's Comprehensive Automated Risk Data System (CARDS) proposal....More

Thinking About Buying a Practice? Talk to More Than One Seller

It’s a seller’s market when it comes to the merger and acquisition activity around advisory practices, so for those looking to buy, better have more....More
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