Articles tagged "Hamburger Law Firm"


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After BNY Mellon buys $2.7-billion Silicon Valley RIA, it files suit against four former staffers who file swift-uppercut countersuit

Four former Atherton Lane advisors form Lyell Wealth Management and say they never promised anything to their employer's acquirng mega-bank

September 27, 2016 — 8:07 PM UTC

In exclusive RIABiz interview, Dawn Bennett tells how she's striking back at SEC after a $4-million legal drubbing has left her 30-year career in shambles

The advisor and popular radio host has hired the 'London Whale' attorney to prove she and her firm were victims of a regulatory witch hunt

August 1, 2016 — 4:52 PM UTC

Brian Hamburger joins the fray -- and ups the ante -- in Bruckenstein-Winterberg lawsuit

MarketCounsel CEO framed the answer to the Winterberg lawsuit; it says Winterberg did not meet 'measurable' demands and that he subverted T3 by promoting his own services

July 25, 2016 — 7:49 PM UTC

Bringing a familiar ferocity, Brian Hamburger binges on Ivy League grads and wirehouse and securities-firm veterans in MarketCounsel restaffing

With $1-billion RIA firms abounding, the New Jersey lawyer breaks away legal talent from Wall Street to address a blizzard of change

July 14, 2015 — 7:14 PM UTC

Top RIA lawyer explains to the SEC why 'harmony' is a harsh misnomer and why the price of its false spin is paid by investors

MarketCounsel chief pleads for the regulator to draw a bright line between 'patently disparate and distinct' sales and advice models or risk a watered-down fiduciary standard

July 5, 2013 — 10:51 PM UTC

Merrill Lynch team breaks away from Bank of America (yes, ironically) to get better access to bankers

James Maher is forming Archford Capital Strategies as a wealth manager that needs capital galore to unlock his clients' billions in assets from illiquidity

April 2, 2013 — 6:33 AM UTC

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 — 5:09 AM UTC

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

October 14, 2011 — 5:01 AM UTC

MarketCounsel, CFDD, T3 and Schwab vie for advisors to attend their fall conferences

As competition for RIA time and money grows, many events are catering to more defined niches

September 26, 2011 — 4:03 AM UTC

RIA loses $10 million case against Raymond James the old-fashioned way

The case may have turned on the validity of written versus oral agreements

August 18, 2011 — 4:36 AM UTC