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.
It’s not just 12(b)-1 fees, say SEC critics
As it attempts to crack down on 12(b)-1 fees, the Securities and Exchange Commission is ignoring a raft of mutual fund charges that investors are paying indirectly, critics contend.
Wells Fargo loses another A.G. Edwards raiding case to Stifel
The suit is one of several arising between Edwards and its successor firms and Stifel as a number of Edwards brokers deserted ship in the wake of the 2007 takeover of Edwards by Wachovia Securities LLC.
Technicals signal market pyrotechnics
Ignore the Hindenburg Omen. For that matter, disregard the Death Cross and the Bearish Abandoned Baby as well.
Inflation now less of a fear among financial advisers
The reality of a sluggish economy is sinking in among advisers.
Finra proxy proposals may well wind up in the circular file
Corporate-governance experts think that seven proposals designed to make Finra disclose more information and give members a say on executive compensation may never be implemented — even though 67% of Finra member firms that participated in the vote approved them.
Ex-Schwab exec Grist ready to hit stride at new gig at Cetera
Barnaby Grist thinks that he has found the industry's “sweet spot.”
Gross calls for U.S. to refinance home mortgages
Pimco's Bill Gross said the U.S. government should offer to refinance mortgages for homeowners as a way to stimulate the struggling economy.
Finra wants more financial reporting from B-Ds
The Financial Industry Regulatory Authority Inc. is proposing a rule that would let the regulator demand more frequent financial reporting from its member firms — and as a first step, it wants more details on revenue and expenses.
SEC’s 12(b)-1 plan will hike costs for investors, brokers say
The commission's plan to cap the fees is intended to save investors some money. But some advisers predict it will actually drive up costs, as brokers shift to wrap accounts in a bid to preserve revenue
Finra wants more financial reporting from B-Ds
The Financial Industry Regulatory Authority Inc. is proposing a rule that would let the regulator demand more frequent financial reporting from its member firms — and as a first step, it wants more details on revenues and expenses.
