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 may give up lock on BrokerCheck
In a move that could have a serious impact on the advice business, Finra is considering giving private vendors access to the regulator's data on licensing and disciplinary actions.
Finra warns B-Ds about gray areas when courting seniors
Regulator says some firms take liberties using 'senior designations'; supervisory procedures must be tightened and enforced
The ‘worst personal-finance video ever’?
The Columbia Journalism Review takes CNNMoney to task for a video on how to improve your odds of winning a lottery.
Finra may unlock BrokerCheck
Finra is considering giving up its proprietary lock on BrokerCheck data, paving the way for a higher level…
Why Ric Edelman is going private
Edelman Financial Group isn't big enough to develop the liquidity and attention of analysts needed for institutional investors to trade the stock, Edelman says.
SEC’s ‘no-action’ letter could signal next step for alts custody
Commission's decision seen as tacit endorsement of the Alternative Investment Product service
Schwab closes on optionsXpress
Deal valued at $1B; trading platform highly valued
Merrill reorg gives the driver’s key to Thiel
John Thiel, Bank of America Merrill Lynch's new boss, has put his own stamp on the business with a revamped and leaner management structure
RJ says that RIA custody is a ‘strategic imperative’
Will Raymond James be able to cut off a bigger slice of the custodial pie? That challenge…
Finra issues a warning about senior designations
A warning this month from Finra could reignite concerns about the use of senior designations
