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Articles tagged "Hamburger Law Firm"


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Gary Davis: Our goal is to educate and drive the industry towards approaching compliance as a key part of the overall operations of the firm, not something to be addressed in a silo.

MarketCounsel buys Beneficial Concepts Group with an eye toward calming smaller RIAs' compliance fears

Brian Hamburger believes new regulatory challenges require new approach

March 22, 2011 at 2:26 PM

Bank of America is trying to stop a giant private banker from waltzing away with $5.9 billion.

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

December 10, 2010 at 3:22 PM

Columnist Frank Pizzichillo on the decision points that finally led a brokerage team to make the break.

The Leading Indicator: The story of an intern, a broker and what might be the longest breakaway sales cycle ever

Merrilll Lynch's odd ducks are the independent world's $400 million AUM swans

September 16, 2010 at 3:30 AM

Frank Pizzichillo: LLCs are king 'but there are situations in which an S-Corp may be appropriate and, much less often, where a C-Corp may be the way to go.'

The Leading Indicator: Do not forget corporate concerns in the transition to independence

The quick-hit S-Corp.-versus-LLC rundown for breakaway brokers

July 6, 2010 at 5:11 AM

While executives from Goldman Sachs raised their right hands before Congress and attempted to artfully wordsmith their way out of selling “crap” to their customers, those that represent a better way of doing business gathered in Las Vegas.

The Leading Indicator: Breakaway lawyers turn the tables and invite RIA providers to their own conference

The business plan and the breakaway plan of RIA service providers are starting to look the same

May 20, 2010 at 4:49 AM

Matthew J. Schafer: It’s just playground rules at a time [when] duress or stress might be high.

SIFMA will take over administration of Broker Protocol list

Wachtell, Lipton, Rosen & Katz gives up reins of legal truce after list of participants balloons to 471 firms

May 6, 2010 at 6:25 AM

Charles Huebner: You can see it in their eyes. They say: You can tell what it is like to take the risk.

Two senior UBS brokers pass on retirement to pursue aggressive breakaway plan

Huebner and Jagger are winding up, not down with multi-faceted growth strategy

March 16, 2010 at 5:10 AM

Patrick J. Burns: I'm not sure the SEC or FINRA has the stomach for a return to the days of heavy litigation.

Broker Protocol may be endangered by complexities as membership starts to explode

Merrill Lynch, LPL and Ameriprise create addendums to once-sacred truce; they may spark an unfavorable trend

January 29, 2010 at 4:59 AM

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