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Dan Jamieson

Dan’s Recent activity

NASDR Wants Comments on Account Transfer Rule
Jul 01, 2001
The NASDR released for comment May 22 a proposed rule interpretation designed to prevent clients from getting caught in the middle of industry employment disputes (see June 2001 RR, Page 36). The notice to members...
Morgan Stanley Unveils New Policy for Assigned Accounts
Jul 01, 2001
In May, Morgan Stanley distributed a memo outlining new guidelines for the distribution of house accounts and leads to brokers. As one criterion to qualify for the freebies, brokers must sign a noncompete agreement...
Forward Thinking
Jul 01, 2001
Four Registered Representative Outstanding Brokers from the past provide a glimpse of the industry's future. They see personal service winning over technology. Steve Booren Linsco/Private Ledger, Greenwood Village...
Hitting a Historical Note
Jul 01, 2001
This month, Registered Representative celebrates its 25th anniversary. Together with the industry, we've come a long way since our first issue in the summer of 1976. Although I joined the magazine in 1985, I know the...
Lasting Impact
Jul 01, 2001
Registered Representative recalls the many people, entities and events that have altered the way brokers do business. They Moved and the Industry Shook Sanford Weill challenged the Glass-Steagall Act of 1933 and won...
SEC Issues Alert on Analyst Conflicts
Jun 29, 2001
The SEC yesterday issued an investor alert warning the public about analyst conflicts. The alert warns about investment banking ties, ownership stakes analysts may have, and describes what analyst recommendations...
Komansky on Retail Strategy, Merger Rumors
Jun 08, 2001
At Goldman Sachs financial services conference last month, Merrill Lynch CEO David Komansky reiterated the firm’s retail strategy and quashed rumors of a merger with HBSC Holdings. “Segmentation is the key...
Clients Online--They're Doing More
Jun 01, 2001
What are your clients doing online? RR conducted an exclusive survey of 200 investors to find out (see Tracking Clients, Page 63). They surf the Web for investment ideas, e-mail their brokers and pay bills online. And...
NASD Wants Comment on Account Transfer Rule
May 24, 2001
On Tuesday, the NASD released for comment a proposed rule interpretation designed to prevent clients from getting caught in the middle of industry employment disputes. The notice to members explains that in granting...
Efficient Market Fantasy
May 01, 2001
The crash of the market's high fliers makes Robert Haugen's 1999 book, The New Finance, the Case Against Efficient Markets,#8221; a fitting choice for amateur theorists. Haugen, a controversial academic, is a well...
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