Articles tagged "Brian Hamburger"
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Pershing draws a record crowd to steamy Miami but many hearts are in D.C.
INSITE produced bipartisan cheers for Bill Clinton and a split view on the FINRA battle up North
June 7, 2012 at 4:46 AM
RIAs flood Capitol Hill with protests against a SRO-FINRA future on the day of the Bachus Bill hearing
Schwab's Clark and TD's Schweiss lead the charge, arriving in D.C. with impassioned advisor missives predicting an 'avalanche of costly regulation'
June 6, 2012 at 5:24 AM
Brian Hamburger hammers the FINRA SRO proposal in a letter
In his muscular style as a lawyer and insider in the regulatory realm, the MarketCounsel principal pulls no punches
June 5, 2012 at 10:53 PM
Mintz Levin sells its $1.2 billion RIA, and Focus Financial nabs the assets through a partner firm
In an all-Boston deal, The Colony Group becomes a $2.5 billion behemoth only months after hooking up with the big New York consolidator
May 31, 2012 at 5:45 AM
Non-partisan watchdog group writes a scathing letter about FINRA
POGO, which uncovered the Pentagon's famed $7,500 coffee maker, says the would-be SRO is basically rife with conflicts of interest
May 31, 2012 at 5:32 AM
Why one UBS advisor broke away even knowing that his former partner would keep the 401(k) assets
Christopher Mason is establishing Fontis as part of CONCERT but hasn't given up hope of selling his portfolio management skills on UBS' platform
May 17, 2012 at 6:26 AM
8 notable takeaways from the spring 2012 Tiburon CEO Summit
The breakaway movement still depends more on Wall Street's moves than Main Street's moxie
April 18, 2012 at 5:58 AM
The top 10 people to watch in the RIA business in 2012, Part 1
Forces changing the trajectory of the RIA movement
March 12, 2012 at 5:09 AM
The 10 most influential figures in the RIA business going into 2012, Part 2
These advisors and executives made dramatic moves that advanced the business of registered investment advisors
January 4, 2012 at 5:46 AM
FINRA attacks Boston Consulting Group over SRO study
BCG sticks to its guns saying that the double-dip cost of SEC oversight makes any FINRA numbers moot
December 16, 2011 at 7:05 AM
How much should RIAs shake in their boots after the SEC punished three firms then put out a detailed press release?
Did the embattled agency go too far -- or not far enough?
November 30, 2011 at 5:50 AM
Fidelity veteran Frank Pizzichillo leaves MarketCounsel to join Genworth
In his new role, the Fidelity veteran will be back in advisors' offices advising them on how to grow their businesses
November 28, 2011 at 2:49 AM
RIAs and B-Ds don't mix, says Duane Thompson at MarketCounsel Summit 2011
TD's Tom Bradley delivers a caffeine jolt of good news about the growth of the RIA channel
October 18, 2011 at 3:25 AM
The dark side of the 'good' regulatory changes get scrutinized at MarketCounsel Summit 2011
Advisors may get much of what they wish for but in reality it may not be so good
October 17, 2011 at 3:17 AM
Brian Hamburger answers the questions about an SRO future that has RIA stomachs in turmoil
The MarketCounsel Summit undercurrent revolves around FINRA fears, so Dina Hampton put the compliance expert on the spot about how the scenario could unfold
