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.
Finra dealt blow in fine collection
A court decision last week could make it easier for violators in the securities industry to keep ill-gotten…
Finra accused of age bias
A former district director of Finra's New York office has filed an age discrimination suit against the regulator, Reuters reported last week
Finra to push back back-office license deadline
New employees now have until April 14 to pass exam
Advisers bogged down by economy’s slow growth
Economic uncertainty is the key obstacle keeping advisers from expanding their businesses
Double-dip threat has passed: RJ strategist
Don't worry about a double dip, says Raymond James' chief investment strategist Jeff Saut.
Breakaway brokers fill custodians’ pipelines
Market turmoil usually slows job hopping by brokers and financial advisers, but RIA custody firms say that their pipelines are as full as ever — and they don't expect a slowdown soon
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.
Commodities slide feared as replay of financial crisis
Concerns over a global economic slowdown — especially in emerging markets — have hammered commodities, resurrecting frightful memories of their meltdown during the financial crisis
Court KOs Finra’s fine-collecting
A U.S. Circuit Court of Appeals today ruled that the Financial Industry Regulatory Authority Inc. has no right to collect fines through court judgments
Raymond James working on no-fee ETF program
Raymond James Financial Inc. aims to have a no-fee ETF program up and running within six months.
