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.
Adviser group opposes MSRB regulation
A group representing independent public-finance advisers is gearing up to fight off potential regulation.
Industry leaders blast FASB mark-to-market rule change
A new high-profile investor advocacy group is taking serious issue with the Financial Accounting Standards Board for giving banks more leeway in valuing toxic assets.
ARS suit against UBS dismissed
A federal judge has dismissed a class action against UBS that alleged fraud in the sale of auction…
Smaller B-Ds hit hiring limits
A bumper recruiting environment is causing many smaller brokerage firms to brush up against strict hiring limits enforced by the Financial Industry Regulatory Authority Inc.
Asset, revenue levels tank at brokerage, advisory firms
Financial advisers are bracing as asset levels at brokerage and advisory firms are off by about 30% from a year ago, and revenue is expected to be down accordingly.
B-D firms worry about increased audit costs
Broker-dealer firms are worried about increased audit costs in the wake of the Bernard Madoff scandal.
Ex-Amex chief Sodano settles with SEC
This week, after a long battle with the SEC, former American Stock Exchange chairman and chief executive Salvatore F. Sodano consented to SEC findings that he failed to supervise the exchange's oversight of its order-handling and record-keeping rules from 1999 through June 2004.
Securities fraud class actions tumble
The number of securities fraud class actions filed in 2006 was the lowest ever recorded in a calendar year since the adoption of the Public Securities Litigation Reform Act of 1995, according to a study released today.
Folio Institutional launches model portfolio service
Folio Institutional has rolled out a service that allows its RIA clients to tap into model portfolios run by other advisers who custody at the firm.
