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.
Weak economy weighing down market
It's no surprise that advisers are worried about a multitude of economic problems
Whistle-blower against B-D wins Finra arbitration award
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
Wells Fargo snags $1.6M duo from MSSB
Wells Fargo Advisors has landed a $1.6 million in revenue team from Morgan Stanley Smith Barney.
12(b)-1 reform won’t expose hidden fees, brokers say
Brokers generally have no problem with improving disclosure, but they and other critics contend that the agency is neglecting to shine a light on other mutual fund expenses and practices that cost investors money.
Proxy proposals stir interest in Finra election
Proxy proposals seeking to shed more light on the Financial Industry Regulatory Authority Inc. have emerged as a hot-button issue in the self-regulator's election for seven open board seats.
SEC targeting 12(b)-1 fees – but soft dollars fly under the radar
The SEC says it's targeting 12(b)-1 fees to help protect investors. Meanwhile, soft dollars fly under the radar. Critics say that needs changing.
Finra board candidates from small B-Ds air big gripe about regulator
An unfair regulatory system is hurting small brokerage firms and needs to be changed, according to candidates running for seats on the board of the Financial Industry Regulatory Authority Inc.
RBC adds strategic relationship managers
RBC Correspondent and Advisor Services yesterday announced the addition of four senior-level relationship managers whose jobs are to consult with RBC's broker-dealer correspondents and RIA firms at a strategic level.
Critics say SEC whistle-blower plan pays lip service to Dodd-Frank
Claim provision was written by litigators who don't want the law to work; 'disqualification office'
Ex-UBS manager lures retirement planning team to Houston startup
A startup hybrid firm in Houston has scored a coup by landing a team from UBS Financial Services Inc. that brought in $4.5 million in annual revenue
