Dan Jamieson
Dan was Senior Editor at InvestmentNews from 2005 to 2013, before moving on to become Editor at large for Financial Advisor magazine. Check out his video bio here. Connect with him at LinkedIn here.
Custodial firm jumps from Sterne Agee to First Clearing
TradePMR looking to attract larger RIAs from wirehouses, CEO says
Sterne Agee ordered to pay $5.7M award for firing trader
Employee terminated 'without cause,' Finra panel says; firm owed trader 'serious amount of money,' attorney claims
Convergent winds down institutional wealth unit as $4.9B RIA leaves
Focus Financial Partners has landed one of its biggest RIA partner firms yet with the addition of LVW Advisors — a pickup that also signals the wind-down of Convergent Wealth Advisors' institutional business.
Advisers’ revenue up to pre-crisis level, but growth doesn’t have legs
Adviser revenue recovered last year to pre-crisis levels as assets continued to climb, but growth expectations for future growth have soured.
Schwab cuts ribbon on RIA ad campaign
Multimillion-dollar program seen as an awareness raiser
Veteran enforcement official leaving Finra
James Shorris to return to the private sector after seven years with regulator; had said private placement crackdown was top priority
Finra names new enforcement chief
J. Bradley Bennett, a partner at Baker Botts LLP, to take over in January
Finra top cop Susan Merrill joins law firm this week
Susan Merrill wants back in the private sector. So, after six years at Finra, the regulator's head of enforcement is taking a job at law firm Bingham McCutchen
SEC expected to backtrack on muni rules
Industry observers think the Securities and Exchange Commission will have to backtrack on a proposal to increase the number of people regulated as municipal advisers
Muni-bond funds show signs of improvement
The worst may be over for municipal-bond funds
