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.
Members in uphill fight to make Finra transparent
Broker-dealers are in favor of several proxy proposals that urge the Financial Industry Regulatory Authority Inc. to become more transparent, but they doubt Finra will implement any of the ideas even if a majority of members approve them.
RIA custody biz the bright spot in Schwab’s 2Q performance
Amid the rather lackluster financial results announced today by the Charles Schwab Corp., the company's RIA custody business continues to shine.
Retention issue: Finra fines Piper Jaffray over e-mail archiving
Piper Jaffray and Co. was fined $700,000 by the Financial Industry Regulatory Authority Inc. for failing to retain e-mails.
Pershing’s Brueckner: Finra could add board to oversee RIAs
The Financial Industry Regulatory Authority Inc. could oversee registered investment advisers through a separate governance structure, according to…
Finra board election is getting heated
Finra-backed candidates who represent large and midsize firms are running unopposed so far in the regulator's upcoming board election, but a battle is brewing for three open small-firm seats.
Whistleblower pans SEC for Pequot case
A former SEC attorney who spearheaded the investigation of Pequot Capital Management Inc. — until he was fired in 2005 — says his own continuing efforts drove the Securities and Exchange Commission to pursue the hedge fund and its founder Arthur Samberg for insider trading.
Controversial placement-agent rules to resurface
Industry observers expect to see rules regulating money-manager placement agents to resurface after several proposals suffered temporary setbacks.
Finra’s battle with Jesup is heating up
A series of nasty legal fights involving Jesup & Lamont Inc., Penson and Finra may be coming to a head.
RS Investments to buy assets of Oak Value and close it
RS Investments last week announced an agreement to acquire certain assets of Oak Value Capital Management Inc.
Finra board challengers are approved for ballot
A slate of challengers for three small-firm seats on the Financial Industry Regulatory Authority Inc. board has made the ballot for the Aug. 2 election.
