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.
Ex-Wachovia gurus roll out first mutual funds at Riverfront
Riverfront Investment Group, the asset manager founded by former investment gurus from Wachovia Securities, is launching three mutual funds.
Two nominated for Finra review group
Charles Senatore, head of corporate compliance for Fidelity Investments, and James Williams, president of Financial Telesis Inc., have been nominated to run for seats on the Financial Industry Regulatory Authority Inc.'s National Adjudicatory Council.
Morgan Keegan move rejected
A federal judge has upheld a $1.47 million arbitration award given last fall to former NBA star Horace Grant for losses he sustained on investments in failed Regions Morgan Keegan Select bond funds.
Is e-mail smoking gun in Morgan Keegan case?
Plaintiff's attorneys who are suing Morgan Keegan & Co. Inc. over its failed Regions Morgan Keegan Select bond funds are in an uproar about what they claim is the firm's cover-up of embarrassing documents.
Finra critic convicted for sham sale of money market fund
Goble barred from securities industry for illegal transaction; co-founded FIA
Gadfly Goble claims regulators targeted him
Richard Goble, owner of North American Clearing Inc. and an outspoken critic of regulators, has filed a lawsuit claiming that the Securities and Exchange Commission, the Financial Industry Regulatory Authority Inc. and the Depository Trust and Clearing Corp. in 2008 conspired to put his firm out of business.
Finra targets selling-away cases
Selling away is one area where Finra is likely to bring more cases, said Jim Shorris, executive director of enforcement at the regulator
SEC set to approve new ADV Part 2
A full decade after first proposing to revamp form ADV Part 2, the Securities and Exchange Commission is set to approve revisions to this key disclosure document this week
TD Ameritrade reports record rise in net new assets
Though it lowered its earnings outlook for the year, TD Ameritrade Holding Corp. posted a record $10.2 billion hike in net new assets in the first quarter, the firm announced last week.
Axelrod to head Finra’s member reg department
Susan F. Axelrod has been named executive vice president and head of member regulation-sales practice for the Financial Industry Regulatory Authority Inc.
