DJAMIESON

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RIA NEWS AUG 12, 2013
Brokers fear Finra wants to dig fingers in outside pies

Revamped Finra rule could allow the regulator to probe deeper into outside business activities of registered representatives, as well as affiliates and parent companies of broker-dealers

RIA NEWS AUG 11, 2013
Attracting RIAs with more services

RIA NEWS AUG 11, 2013
Channel changes and hybrids keep firms on their toes

PRACTICE MANAGEMENT AUG 11, 2013
Finra board member downplays scandal

ALTERNATIVES AUG 10, 2013
Three Apple REITs might merge

In SEC filings, three Apple REITS say they are considering a merger. No timetable for a decision has been set.

REGULATION AND LEGISLATION AUG 09, 2013
Keenan beats out two others for small-firm seat on Finra board

CEO of St. Bernard Financial tops president of Mutual Trust Co. of America, general counsel of Abel/Noser.

RIA NEWS AUG 08, 2013
Schwab shares pummeled after net income tumbles

Rise in expenses puts major dent in company's 2Q financials

WIREHOUSES AUG 08, 2013
Judge denies Wells Fargo bid as MedCap suit rolls on

A Federal judge has put a sizable dent in Wells Fargo's plan to KO a class-action lawsuit filed by MedCap investors.

RIA NEWS AUG 07, 2013
Finra board member's firm caught up in bribery scandal

The bribery scandal of former Arkansas Treasurer Martha Shoffner (pictured) may have ripple effects for a new Finra board member who says it will have no impact on his ability to serve.

INDEPENDENT BROKER DEALERS AUG 07, 2013
With new name, broker-dealer group retrenches and sets relaunch

National Association of Broker-Dealers plans new member drive, regional confabs.