Articles tagged "Hamburger Law Firm"
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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 at 1:00 AM
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 at 5:26 AM
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 at 3:08 AM
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 at 9:28 PM
A Goldman Sachs team attempts breakaway with a client as stakeholder in new RIA and suffers the consequences
Grey Street Capital will have to wait until August to solicit former clients -- at the very least
June 22, 2017 at 9:21 PM
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 at 8:07 PM
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 at 4:52 PM
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 at 7:49 PM
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 at 7:14 PM
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 at 10:51 PM
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 at 6:33 AM
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 at 5:09 AM
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 at 5:01 AM
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 at 4:03 AM
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
