Patrick J. Burns

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  FINRA Seeks Second Round of Comments on Markups, Commissions Plan

  By Melanie Waddell, AdvisorOne  |  February 5, 2013

  After being deluged with comments against its plan to end a 5% threshold on commissions and markups, FINRA is giving broker-dealers yet another chance to weigh in.

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  Moody’s Downgrades BofA, Wells Fargo & Citigroup

  By Marlene Y. Satter, AdvisorOne  |  September 22, 2011

  More advisors may feel the necessity to seek independence, as lack of potential government bailouts led to ratings cut.

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  Noncompliance Roundup: Stifel, Nicolaus; Citigroup; Janney

  By Editorial Staff  |  August 18, 2011

  A roundup of recent charges, penalties and settlements--this week relating to fraud, insider trading and failure to supervise--from the SEC and FINRA.

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  When It Comes to Social Media Policy, Don’t Wait, Counsels Attorney Burns

  By James J. Green, AdvisorOne  |  April 27, 2011

  A new white paper written with Tim Welsh of Nexus warns of social media’s risk management issues but also raises the business opportunities for advisors.

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  When It Comes to Social Media Policy, Don’t Wait, Counsels Attorney Burns

  By James J. Green, AdvisorOne  |  April 27, 2011

  A new white paper written with Tim Welsh of Nexus warns of social media’s risk management issues but also raises the business opportunities for advisors.

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  When It Comes to Social Media Policy, Don’t Wait, Counsels Attorney Burns

  By James J. Green, AdvisorOne  |  April 27, 2011

  A new white paper written with Tim Welsh of Nexus warns of social media’s risk management issues but also raises the business opportunities for advisors.

• Broker/Dealer News

  By Staff Writer  |  May 1, 2010

  Fidelity's clearing arm for broker/dealers, National Financial, announced several new online service technology tools that National Financial says will allow brokers and advisors to spend...