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.
Whistle-blower wins arbitration award against B-D
Affinity Investment Services LLC has been ordered by a Finra arbitration panel to pay $925,000 to a former broker who alleged she was fired after complaining about wrongdoing at the firm.
Schwab’s Clark says a strong offense is the best defense
With a market share more than twice that of its closest competitor, The Charles Schwab Corp.'s Advisor Services unit is the acknowledged king of the RIA mountain — and Bernie Clark intends to keep it that way
Fidelity offers its advisers single-family-office services
Fidelity Investments today is launching a service designed to help investment advisers who use the firm's custody services attract more business from wealthy clients by giving them access to its single-family-office services
Wells Fargo loses arbitration appeal, told to pony up $1.1M
Firm ordered to pay legal costs of four former A.G. Edwards brokers
TD Ameritrade broadens bond platform for advisers
TD Ameritrade Inc. announced today that it will offer new-issue municipal bonds both to its discount clients and the investment advisers who hold assets in custody at the firm.
Finra governors accused of flip-flopping
Three independent governors elected to the Finra board in August are already drawing fire from critics who say that they have abandoned the reform platform that got them elected in the first place
Finra’s indie board members slammed for apparent about-face
Three reformist small-firm governors elected to the board of the Financial Industry Regulatory Authority Inc. in August already are facing some heat.
More advisers try hand at running mutual funds
But the road to riches is paved with lots of obstacles, experts say
Recession hangover blurs solid fundamentals, Schwab strategist says
Liz Ann Sonders, chief investment strategist at Charles Schwab & Co. Inc., feels almost apologetic about being bullish.
IMCA targeting indie reps and advisers
The Investment Management Consultants Association is zeroing in on independent advisers as it attempts to attract new members to certain designations.
