New Hire Roundup: Janus Capital Adds Scholes, Alankar
Also in new hires, the SEC announced that Thomas Krysa has been named associate regional director for enforcement in its Denver office.
FINRA Enforcement Roundup: Morgan Keegan Censured, Fined Over Nontraditional ETFs
Among recent FINRA enforcement actions were the censure, fine and order to pay restitution of a firm that charged its customers bogus markups.
SEC, FINRA, DOL Enforcement Roundup: Investment Advice From the Heavens
Recent enforcement actions included an astrology-based Ponzi scheme, along with fines for Morgan Keegan, Edward Jones and Janney Montgomery Scott.
New Hire Roundup: TD Ameritrade Institutional Welcomes Gaze
This week in new hires, Christine Gaze joined TD Ameritrade Institutional, Robert Bernstein went to Windham Capital and Raymond James confirmed the appointment of John Carson as president of its board.
Raymond James Taps Former Morgan Keegan CEO to Lead Fixed-Income Group
The fixed income and capital markets group will be led by John Carson Jr., former CEO of Morgan Keegan.
Morgan Keegan to Pay $200 Million Over Bond Fund Allegations
Morgan Keegan & Company will pay $200 million to settle allegations of exaggerated claims, failures in supervision and undisclosed investment risks, the Financial Industry Regulatory Authority announced Wednesday.
Refco Will Distribute Fund Linked to S&P Managed Futures Index
NEW YORK (HedgeWorld.com)--Refco Securities LLC will license for sale and distribute a new fund linked to the Standard & Poor's Managed Futures Index. Refco officials said...
Morgan Keegan Hires Former Hedge Fund Exec
NEW YORK (HedgeWorld.com)-Morgan Keegan & Co. hired former private investor and hedge fund manager Peter T. Lozier to work on its institutional fixed-income sales desk. Mr....