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.
SEC OKs all-public arbitration panels
The Securities and Exchange Commission yesterday approved a Financial Industry Regulatory Authority Inc. proposal to give investor claimants the option of using all-public arbitration panels.
Planning well in advance will pay off in the end
Ameriprise Financial Services Inc. advisers Dave Dryden, Travis Carter and Wayne Smith were running their own independent office, in their own building, with their own staff.
Advisers big on stocks, survey finds
Financial advisers have had their fill of bonds but have a hunger for stocks, according to the results of a January survey released by The Charles Schwab Corp. last Monday
Finra enforcement activity spikes
Number of disciplinary actions increases, but total fines collected by the SRO take a dive
Finra to alter makeup of district committees
In a move that some say could disenfranchise smaller firms, the Financial Industry Regulatory Authority Inc. plans to revamp its district committees
Advisers steering clear of new debt bets
Advisers hate bonds and love stocks, according to results of a January survey released today.
Taxpayers getting hosed in muni market: Study
Researchers find that issuers shell out $30B in unnecessary costs; pooling suggested
Enforcement activity spiked in 2010
Disciplinary actions brought by Finra grew 13% last year to 1,310, from 1,158 in 2009, according to a study
Finra won’t discipline Schwab over ARS sales
The Financial Industry Regulatory Authority Inc. won't be taking enforcement action against The Charles Schwab Corp. for the sale of auction rate securities
Schwab builds branch networks using RIAs
The Charles Schwab Corp. plans to build its branch network by setting up new outlets run by independent…
