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.
Judge tosses suit alleging Finra misled members
A lawsuit brought by two brokerage firms against NASD over its 2007 merger with the New York Stock Exchange's regulatory unit has been dismissed.
Court upholds branch office manager’s win against Hilliard
A Federal judge refuses to vacate an award from June 2009 arbitration ruling.
Medicare tax may apply to investment income
President Barack Obama's health plan proposal would extend Medicare taxes to the investment income of higher-earning households.
Court ruling seen soon on suit charging Finra misled members
The fate of a lawsuit brought by two brokerage firms against NASD over its 2007 merger with the New York Stock Exchange's regulatory unit could be decided this month.
Small-cap run may still have legs
For those advisers who missed out on the massive run-up in small-cap stocks since March, don't fret — some market observers still see plenty more upside.
Does Citizens United ruling spell the end for pay-to-play laws? Attorneys disagree
The recent Supreme Court decision makes pay-to-play regulations unconstitutional — or at least, that's the take of one securities attorney. Others don't see it that way.
Reps’ game of musical chairs seen unlikely to miss a beat
Although the number of brokers who change jobs in 2010 won't approach the level seen during the financial crisis, expect this to be a good year for broker recruiting.
Rule G-37 basher Blount gets four years in prison for kickback scheme
A former Alabama municipal bond dealer whose failed challenge to a pay-to-play rule set a legal precedent, was sentenced today to four years and four months in prison on corruption charges.
Finra on social media: Don’t mix business and pleasure
Registered representatives should be careful about mixing personal use of social-networking sites with business use, a Finra executive said today.
