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.
‘Crowd funding’ draws the ire of state regulators
State regulators are up in arms about efforts to expand online offerings of private placements
Florida outsider wins small-firm seat on Finra appeals board
Karen Fischer, a Boca Raton, Fla.-based compliance consultant, has won a small-firm seat on the Financial Industry Regulatory Authority Inc.'s appeals board.
Advisers should gird for higher compliance costs: RJ’s Helck
Investment advisers should get set for higher compliance costs — as well as a self-regulatory organization, said Chet Helck, chief operating officer for Raymond James Financial Inc.
Enter bashing: Finra small-firm candidates tee off on each other
Two small-firm candidates have lost no time in squaring off in a bruising battle for a seat on…
RJ’s retail biz propping up other units: Reilly
Raymond James' retail businesses are a steadying force as its capital markets units remain in the doldrums.
Finra NAC seat could be contested
Karen Fischer, a Boca Raton, Fla.-based compliance consultant, yesterday began circulating petitions to small broker-dealers in order to get on the ballot for a seat on the National Adjudicatory Council.
Client assets hit the heights at Schwab
The Charles Schwab Corp. last week reported increases in net revenue and profits for the first quarter, driven by a return of the individual investor to the market
Deal fever hit RIA biz in 2010
Close to 110 mergers and acquisitions completed; M&A discussions 'back on the front burner'
YieldPlus costs Schwab $119M in settlement
The Charles Schwab Corp. will pay $119 million to regulators to settle charges related to its disastrous YieldPlus bond fund, the company said last week.
Schwab settles YieldPlus charges — but execs not off the hook
Schwab's YieldPlus fund has generated plenty of negative publicity for the brokerage. Here's more: the company today agreed to pay $119M to settle SEC and Finra charges related to the ultra-short bond fund. In addition, two Schwab execs are now facing fraud charges related to the selling of the fund.
