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.

Dan Jamieson
Displaying 471 results
YOUR PRACTICE PRACTICE MANAGEMENT DEC 04, 2011
Finra outsider elected to seat on appeals board

NEWS REGULATION AND LEGISLATION DEC 04, 2011
States announce reviews for midsize advisers

NEWS RIAS DEC 04, 2011
Satisfied in Seattle: More clients than competitors for RIAs

Despite is reputation for gray skies, Seattle has weathered the nation's economic storm better than most of the U.S. That fact, combined with the area's recreational opportunities and quality of life, makes some financial advisers who live and work there pretty satisfied.

Crooks 'licking chops' over crowd-funding bill, claims NASAA head
NEWS REGULATION AND LEGISLATION DEC 01, 2011
Crooks 'licking chops' over crowd-funding bill, claims NASAA head

Herstein worried that easing of rules governing web-based raising of capital will lead to fraud

Florida outsider wins small-firm seat on Finra appeals board
NEWS REGULATION AND LEGISLATION NOV 28, 2011
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.

NEWS REGULATION AND LEGISLATION NOV 28, 2011
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.

NEWS REGULATION AND LEGISLATION NOV 28, 2011
Enter bashing: Finra small-firm candidates tee off on each other

RJ's retail biz propping up other units: Reilly
NEWS INDUSTRY NEWS NOV 28, 2011
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.

NEWS REGULATION AND LEGISLATION NOV 28, 2011
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.

NEWS INDUSTRY NEWS NOV 21, 2011
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