Articles tagged "Brian Hamburger"


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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 — 5:06 AM UTC

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 — 12:22 AM UTC

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 — 5:40 AM UTC

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 — 12:24 AM UTC

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 — 3:01 PM UTC

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 — 6:30 PM UTC

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 — 11:50 PM UTC

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 — 7:59 PM UTC

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 — 2:18 PM UTC

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 — 11:09 PM UTC

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 — 1:00 AM UTC

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 — 5:26 AM UTC

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 — 3:08 AM UTC

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 — 9:28 PM UTC

Caveats galore, Redtail attempts CRM revolution based on texting starting with 27,000 firms who use its software

Compliance experts and advisors throw down the gauntlet on CRM chat challenges but CEO/CTO Brian McLaughlin is unfazed

October 11, 2017 — 7:30 PM UTC