DJAMIESON

Displaying 412 results
NEWS REGULATION AND LEGISLATION JUN 16, 2013
Ex-broker: I forced out Finra director

Finra said its Southern regional director had resigned to pursue other interests, but a self-proclaimed whistle-blower is taking credit for his departure. Dan Jamieson reports.

YOUR PRACTICE PRACTICE MANAGEMENT JUN 16, 2013
CFP Board to admonish ex-chairman

YOUR PRACTICE PRACTICE MANAGEMENT JUN 14, 2013
Record-cleaning rules for registered reps to get Finra tweak

Quick expungements are the rule and nearly all cases get OK'd.

NEWS REGULATION AND LEGISLATION JUN 14, 2013
Finra's Florida regional director resigns

Atkins had oversight for Florida, Atlanta, New Orleans.

INVESTING FIXED INCOME JUN 12, 2013
Finra warns on bonds

Finra is the latest to warn investors about a possible rout in the bond market, particularly for long-term debt. Dan Jamieson reports.

NEWS RIAS JUN 09, 2013
Dynasty offering insurance

NEWS REGULATION AND LEGISLATION JUN 05, 2013
Ex-J.P. Morgan broker: Firm pushed house funds

In an arbitration claim, a former rep at J.P. Morgan says brokers didn't get commissions on trades of nonproprietary funds, including those marketed by Pimco.

RETIREMENT RETIREMENT PLANNING JUN 03, 2013
Dynasty branches out to the insurance side

New offering opens up access to insurance brokerages offering annuities, disability, long-term care.

NEWS RIAS JUN 01, 2013
The skinny on RIAs

The benefits of size and scale are becoming apparent in an era of tighter margins

YOUR PRACTICE PRACTICE MANAGEMENT MAY 31, 2013
RIA alliance serves up dire industry outlook