Dan Jamieson

Frequent updates are most important to investors--more so than whether they pay fees or commissions, or whether they use individual managed accounts or mutual funds, according to a survey conducted for CapTrust...

Wanna-be millionaires have been calling A.G. Edwards in droves.And it has nothing to do with the firm's investment acumen. (Sorry, Ben.)According to a Jan. 14 memo distributed to the sales force, here's what happened...

After facing a threatened member-firm revolt, the NASD last month changed the terms of its proposed Nasdaq spin-off via a private placement. Smaller NASD members now stand to get a 25 percent or larger stake in the...

While the industry lauded Congress for passing the Gramm-Leach-Bliley Act, the new law also gave the Federal Reserve an entree into the SEC's turf.The law sweeps away the last remnants of Depression-era legislation...

As the NASD prepares to spin off Nasdaq, some member firms are criticizing the deal.NASD members have been informed that Salomon Smith Barney is working as an adviser on the transaction. But how SSB was chosen and how...

The acrimony in Salomon Smith Barney's "boom boom room" suit continues.In late November, the firm sent to 1,850 women proposed settlement offers ranging from 1,000 dollars to the low six figures, according to Mary...

SEC-approved rules for handling employment discrimination claims in NASD arbitrations go into effect Jan. 18.A year ago, the NASD eliminated mandatory arbitration of harassment and discrimination claims, leaving that...

An independent auditor has criticized the NASD for failing to have enough public directors and committee members. Enhanced public representation was one of the key reforms ordered by the SEC in its 1996 settlement...