RIABiz

News, Vision & Voice for the Advisory Community

RIABiz

Articles tagged "Brian Hamburger"


Headline

Publish date


Bob Edmonds and Bob Curtis proudly teaming up sent tremors through the competorati.
February 6, 2019 at 4:42 AM

Mike Durbin: We have a chip on every square on the table.

Mike Durbin speech spellbinds; David Kowach prompts head-scratching and Brian Hamburger-Dale Brown showdown has one tense moment at Market Counsel Summit

The Fidelity exec shows forward thinking; the Wells Fargo exec talks branded RIAs and the cage match ... not so much

December 8, 2018 at 5:06 AM

Brian Hamburger (left): I don't want people up there patting each other on the back.

Brian Hamburger convinces his FSI nemesis to debate him in Las Vegas, after trips to San Francisco and Washington

The pressure to create fireworks for a big, bright line-up of 'faculty' and attendees meant finding common cause with Dale Brown based on their lack common ground about how advisors should be regulated

November 17, 2018 at 12:22 AM

Gary Hirschberg: I believe in contracts.

Yet another Goldman Sachs advisor breaks away, risks its legal ire and stands wordlessly by for three months to become an RIA

Gary Hirschberg oversaw $1.4 billion and teamed up with Mindy Daimond and Shirl Penney to join a growing army of people beating a path away from the platinum-brand investment bank

October 2, 2018 at 5:40 AM

Rob Farmer: The activity at the heart of this case was the result of Schwab having a robust compliance process designed to protect our customers.

Schwab Advisor Services's 'very tight ship' sprung leak that may signal a flood of SEC actions against custodians, leading to potential crack down on RIAs

The $1.6-trillion RIA custodian in San Francisco settles SEC lawsuit in a day by paying a $2.8 million fine in a case meant to be a 'shot across the bow' of custodians and RIAs, say analysts

August 3, 2018 at 12:24 AM

Barnaby Grist: They asked me to help them find a firm to invest in and we’ve been talking to a bunch of firms. This was the first one I got really excited about.

Purchase of RIA in a Box with reclaimed Barnaby Grist as overseer shows ambition of New York buyer to create compliance 'robo-advisor'

Fresh off big AssetMark score, Aquiline's money talks, saying RIAs must spend big to comply but would like to spend smaller

June 1, 2018 at 3:01 PM

Bill Willis: The code of conduct at Morgan Stanley is embedded in compliance manual. I’m sure it could find a page, a paragraph, a sentence that would justify his termination.

Morgan Stanley mega-producer's fate in Oregon may become #MeToo movement litmus test on Wall Street after New York Times report

The charges against Douglas Greenberg of egregious and unlawful behavior aren't compliance- or even MS-employee related, making them 'gray area' infractions, says a source

April 2, 2018 at 6:30 PM

Eric Clarke: Brian [Hamburger] is right. If you don't have a culture of compliance, it's going to be difficult.

After Orion user conference, CEO Eric Clarke greenlights new software layer -- spearheaded by his general counsel

RIAs told horror stories to the Omaha software firm in Phoenix about SEC compliance -- encouraged by presentation by NorthStar's Kylee Beach -- and it fell on receptive ears this time

March 27, 2018 at 11:50 PM

Brian Hamburger: We were only privy to their regular weekly updates, other firms received the privilege of additional information in advance of those updates.

SIFMA helps oust Bressler, Amery & Ross PC after alleged duplicity -- but weak pledge by replacement means 'issue' remains

Known DOL-rule naysayer Capital Forensics steps in to keep Broker Protocol list and draws immediate fire for stopping short of promise to avoid conflicts

January 31, 2018 at 7:59 PM

Shirl Penney (2nd from r., flanked by Rich Gill, Marty Bicknell and John Furey): ​Breakaways should expect to 'pay a 25% settlement fee moving forward.'

An RIABiz advertising exec derives hard meanings from soft comments made by big shots at MarketCounsel Summit

Post-TD Tom Bradley, post-refinanced Elliot Weissbluth, post-divorce David Bach and Ric Edelman, post-protocol Shirl Penney and post-windfall Marty Bicknell were among execs who tipped their hands and hearts about where they are headed

December 12, 2017 at 2:18 PM

Brian Hamburger worked the phones until headliners signed on in droves.

After Brian Hamburger scores Greg Fleming, Tom Bradley, Elliot Weissbluth and other A-list whoppers, MarketCounsel Summit fees will rise

Speakers fresh off making RIA headlines, including ex-Morgan Stanley president who is launching Rockefeller-backed RIA, will address uncomfortable issues, which sends demand up; $1,000 tickets til Monday

November 10, 2017 at 11:09 PM

Joel Bruckenstein (w/Brian McLaughlin): This can become a de facto industry standard by providing something that does not exist today: true end-to-end protection, as well as a baseline of due diligence.

The T3 Enterprise Conference showed the dark side of the RIA software business in Vegas

RIAs may be reaching a point of diminishing returns in buying software unless RIA custodians can join them in the reinvention process -- with the tenuous fate of cleverDome hanging in the balance

November 7, 2017 at 1:00 AM

Sharron Ash: What next? Are they going to call it attorney-client reporting?

RIA lawyers cry foul against Bressler, Amery & Ross -- keeper of the Protocol flame -- after Morgan Stanley exit throws sunlight on attorney behavior

A livid Sharron Ash says she was stonewalled by Bressler, Amery when she called for info after spotting a buried notice that Morgan Stanley was bowing out of the Protocol

November 2, 2017 at 5:26 AM

Shirl Penney: People really get angry.

Timing of Morgan Stanley's Broker Protocol withdrawal sends shocks through RIA legal and recruiting circles

Hundreds of planned and in-process breakaways are reassessed after keeper of the list, Bressler, Amery, & Ross, sat on the change for a week but a silver lining is already emerging

October 31, 2017 at 3:08 AM

David Spaulding: This is recognition that they’ll go after your own pockets too and be aware.

Guilty as charged, Howard Present retreats to no-harm, no-foul defense in sentencing phase

Back against the wall, the ex-F-Squared CEO hopes for leniency because 'no investors suffered losses' as SEC seeks $11-million disgorgement and $150K penalty

October 24, 2017 at 9:28 PM

Previous

RIABiz Directory

The Industry Sourcebook for RIAs

   |    LISTING

Add Your Listing

RIABiz Directory sponsored by:

Directory Sponsor Logo

White Paper Postings


Common Tags


Recent Articles


Popular Writers


RIABiz logo

RIABiz

About Us

Directory

Archives

Connect

RIABiz, Mill Valley, California
Copyright © 2009-2024 RIABiz Inc. All rights reserved.