Dec 16, 2011
FINRA attacks Boston Consulting Group over SRO study
BCG sticks to its guns saying that the double-dip cost of SEC oversight makes any FINRA numbers moot
Person
Brian Hamburger
162 articles
Articles tagged "Brian Hamburger"
Page 9 of 11Nov 30, 2011
How much should RIAs shake in their boots after the SEC punished three firms then put out a detailed press release?
Did the embattled agency go too far -- or not far enough?
Nov 28, 2011
Fidelity veteran Frank Pizzichillo leaves MarketCounsel to join Genworth
In his new role, the Fidelity veteran will be back in advisors' offices advising them on how to grow their businesses
Oct 18, 2011
RIAs and B-Ds don't mix, says Duane Thompson at MarketCounsel Summit 2011
TD's Tom Bradley delivers a caffeine jolt of good news about the growth of the RIA channel
Oct 17, 2011
The dark side of the 'good' regulatory changes get scrutinized at MarketCounsel Summit 2011
Advisors may get much of what they wish for but in reality it may not be so good
Oct 14, 2011
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
Oct 13, 2011
At MarketCounsel Summit 2011, some hard-hitting speeches followed by 'Mohita Madness'
After hearing from industry heavyweights Mark Tibergien, Daniel Bernstein and MarketCounsel founder Brian Hamburger, it was time for a unique cocktail hour in a stunning setting
Sep 26, 2011
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
Aug 18, 2011
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
Apr 8, 2011
Government shutdown may wallop SEC to the long-term detriment of RIAs
Audits on hiatus; fraudsters get more of a lead; most of the SEC on skeleton staff
Mar 22, 2011
MarketCounsel buys Beneficial Concepts Group with an eye toward calming smaller RIAs' compliance fears
Brian Hamburger believes new regulatory challenges require new approach
Mar 10, 2011
Mississippi lawyer Mercer Bullard volunteers to form an RIA SRO and nobody's laughing it off
IAA won't join forces; annual cost to run an SRO could top $150 million
Mar 7, 2011
New Fidelity survey shows advisors are running scared about compliance costs
RIAs, compliance experts and a research group diverge wildly on future costs but a baseline increase in the single-digit thousands seems inevitable
Jan 28, 2011
The RIABiz list of winners and losers in the wake of the SEC's fiduciary study
The race is on as laggards adapt to new vision of the future
Dec 10, 2010
Bank of America throws a legal wrench at big wealth management start-up
U.S. Trust breakaway team headed by Mike Brown says it followed Protocol as it seeks quick transfer of $5.9 billion of assets