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.
Number of deadbeat broker cases surging
The number of arbitration claims filed with the Financial Industry Regulatory Authority Inc. seeking repayment of forgivable loans from brokers who quit has more than doubled in the past two years.
SEC delays plans to create new units
The Securities and Exchange Commission is holding off forming several departments required under the Dodd-Frank financial reform law
BAM buys 401(k) plan provider
BAM Advisor Services LLC, a turnkey asset management program, announced today that it is buying Advisors Access, a provider of 401(k) plans, from Capital Directions LLC, an advisory firm.
Penson sued in Ponzi case
A court-appointed receiver in a Utah Ponzi case has sued Penson Financial Services Inc., claiming that the firm…
Small B-Ds duck audit firm fees
Most small broker-dealers wouldn’t have to pay assessments to the Public Company Accounting Oversight Board under rules proposed…
Finra small-firm board members defend ombudsman
Encourage members to report problems to oversight office; 'retaliation will not be tolerated'
Failing grade?
A proposal by Finra to develop a qualifying test for investment advisers has received a cool reception from adviser groups, which claim that it is part a continuing campaign by the regulator to broaden its powers.
Person of the Year for Schapiro? Unlikely
SEC Chairman Mary Schapiro looks like a long shot to share in Time magazine's 2010 Person of the Year honors.
RJ picks up two teams with $460M in total assets
Advisers move from D.A. Davidson & Co: going independent is 'where the future is'
