RIABiz

News, Vision & Voice for the Advisory Community

RIABiz

What happened when two advisors traveled to D.C. to be heard

Neal Hokanson and Chris Cannon, separately but with the same mission, felt like they created 'aha' moments for presumed FINRA advocates

Author Brooke Southall June 21, 2012 at 4:15 AM
Admin:
no description available
On his D.C. sojourn, Neil Hokanson discovered firsthand how 'rumors are traded like bootleg whiskey on the black market.'

Brian Hamburger

Brian Hamburger

June 21, 2012 — 8:35 PM

Neal and Chris,
Thank you for your time and efforts in advocating for this great space in the financial services industry. I know you both have a lot on your plates already. Only through efforts such as yours can we expect to defeat well-funded interest groups.
With appreciation,
Brian Hamburger, Managing Director
MarketCounsel


Related Moves

Charles 'Chuck Schwab' called James Gorman to protest a two-broker poach, kicking off a hydra-headed legal battle, costing Morgan Stanley millions, so far

The Schwab founder and chairman invoked Charles Schwab Corp.'s zero-tolerance policy against Wall Street -- or RIA -- poaching of talent and AUM from Schwab branches.

March 9, 2023 at 1:23 AM

Why FINRA's late appearance into smoothie-throwing broker James Iannazzo's life might be rough

It's been about 11 months since Merrill Lynch fired him, and the CFP Board stripped him of the CFP mark; attracting the SRO's attention means more woes.

December 29, 2022 at 1:05 AM

November 18, 2022 at 2:56 AM


RIABiz Directory

The Industry Sourcebook for RIAs

   |    LISTING


RIABiz Directory sponsored by:

Directory Sponsor Logo