Dan Jamieson

Dan’s Recent activity

Counting and Congratulating Sales Assistants
Oct 01, 2000
Client contact and freedom rank high, but more training is needed. Our special section on sales assistants ("Pivotal Players," Page 62) includes what we believe is the first study ever done of sales assistants and...
War of Words Erupts Over Arbitrator Lists
Sep 01, 2000
Just days after the NASD created a new dispute resolution subsidiary geared at improving the perception of its arbitration forums, the regulator was accused of "rigging" arbitration panels.The allegation was made by...
Condemning Commissions
Sep 01, 2000
Human behavior expert Alfie Kohn has published numerous works decrying reward systems. His writings include "Why Incentive Plans Cannot Work," Harvard Business Review, September-October 1993, and "For Best Results...
Vendor Payment Disclosure Under SEC Review
Sep 01, 2000
Should mutual funds be required to disclose the details of payments made to brokerage firms?The NASD says yes. But the SEC says it's not sure.An NASD rule requires detailed disclosure by funds of all payments made to...
SEC Says Order Display Rules Ignored
Jul 01, 2000
Limit order handling rules passed in the wake of the Nasdaq price collusion scandal have been widely ignored, according to the SEC.Based on exams conducted over the past three years, the SEC found that most market...
Prudential Securities Tests Advisor II Account
Jun 01, 2000
Prudential Securities in April began a pilot of a second version of its heavily marketed Advisor fee account. Advisor II drops the 24.95 dollars transaction charge levied on Advisor I trades and allows clients to...
SEC Considers Controversial TRO Rule
May 01, 2000
In April, the SEC issued for comment a hotly contested proposed permanent rule governing how injunctions against brokers can be obtained.Firms sometimes seek emergency relief to prevent departing brokers from...
No Absolute Immunity for U-5s in New York
Apr 01, 2000
A federal judge in New York ruled in February that firms do not have absolute legal immunity from defamation for statements made on U-5s.The brokerage industry has argued that it enjoys absolute immunity for U-5s in...
Ghost of Qualified Immunity Rises
Apr 01, 2000
Securities firms are pushing states to give them more legal protection from employment claims.A 1997 NASD rule proposal giving firms "qualified immunity" from broker defamation claims arising from U-4 and U-5...
Merrill Lynch Offers Settlements to Female Reps
Apr 01, 2000
In January, Merrill Lynch began making offers to former female employees who are part of a class-action sex discrimination case the firm settled in September 1998.Merrill spokesperson Bill Halldin confirms that...
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