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.
Crawford stepping down as Texas’ top securities cop
High-profile advocate of state regulatory powers also served as president of NASAA
TD to advisers: Just say no to SRO
TD Ameritrade is urging RIAs to tell Congress to stick with SEC oversight of industry -- and is even advisers a sample letter to make it easier for them to weigh in.
New Finra reporting rule alarms B-Ds
Industry observers are worried that a new Finra reporting rule — set to go into effect July 1 — could open up brokerage firms to enforcement actions.
RJ adds two Davidson teams with $460M in total assets
Raymond James Financial Services Inc. said that two teams of advisers in Washington state have joined the independent-contractor firm from D.A. Davidson & Co
Is Schwab booting custody clients that hire its brokers?
Like other brokerage firms, The Charles Schwab Corp. is known to be self-protective about its discount brokerage customers. And like other firms, it has sued former brokers whom it suspects of violating prohibitions against soliciting clients.
TD to RIAs: We’re still on your side
TD Ameritrade Institutional continues to leverage one factor that distinguishes it from its larger competitors for the assets of advisers: its advocacy efforts
Sour notes from Lehman haunt UBS
UBS Financial Services Inc. is still feeling the pinch from lawsuits over its sale of structured notes issued by Lehman Brothers Holdings Inc. before it filed for bankruptcy protection in September 2008
TD exec: User fees likely to fund RIA oversight
'One thing Congress isn't going to do is give the SEC a bunch more money,' says Schweiss
Focus Financial picks up $575M RIA
Linkup aimed at helping Pettinga Financial cope with 'onslaught' of new regulations
Whither interest rates?
The jump in yield on the benchmark 10-year Treasury note to 3.5% during the last quarter of 2010 has rekindled fears that interest rates are on the rise for good.
