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.
Rare win for a rep in defamation suit against Edward Jones
Former adviser with firm claims broker-dealer defamed him on U-5 termination report; brokerage ordered to pay $100K
Finra plan to revamp district committees draws fire
Critics say move could strip small firms of chance to serve
Paper jam
Maybe the shift from the SEC to state regulation won't be as bad as critics are making it out to be, but observers predict that some advisers will resort to “creative accounting” and “flat-out lying” to avoid having to change their registration
Mariner sails as asset manager on the lookout for acquisitions
While he's too modest to boast about being a successful entrepreneur, Marty Bicknell is the first to admit that he's a poor prognosticator
Murky Finra markup rule may get murkier
In a move that could affect what broker-dealers charge clients for securities transactions, Finra this month proposed dropping its long-standing 5% markup/markdown policy
Murky markup rule may get murkier
Finra wants to replace 5% policy with principles-based guidelines; enforcement could be a 'monumental task'
Finra backs down, won’t discipline Schwab over ARS sales
Regulator hit brokerage with Wells notice in 2009, but declines to follow up with enforcement action
Finra proposes marking up its markup guideline
Finra is proposing to drop its 5% markup-markdown guideline, which can be traced back to the 1940s.
Schwab targets smaller RIAs to help expand branch network
Charles Schwab aims to attract smaller RIAs by expanding its retail network
Will SEC decision open brokers up to litigation?
A new regulation that would allow investors to choose an all-public arbitration panel in disputes with brokers is being hailed as a step toward making the process fairer — and criticized as a half-step toward giving investors the option of litigation.
