Meredith Whitney to Lead Hedge Fund
The popular analyst is known for correctly predicting Citi's woes and erring in her outlook of muni bond doom.
New Hire Roundup: CFPB Names Antonakes Deputy Director
Justin Frys became a branch manager for Zeigler in Minnesota, and Chad Parks joined Beacon Research as sales director.
How Morgan Stanley Advisor Used LinkedIn to Land a $70M Account
Morgan Stanley advisor Mitchell Rock talks about how he uses LinkedIn to land clients.
SEC, DOL Enforcement: Oppenheimer Portfolio Manager Misled Clients
SEC accuses ex-Oppenheimer & Co. portfolio manager of misleading investors about fund returns; DOL orders theater workers' pension trustees to repay more than $2.2 million.
SEC, FINRA Enforcement: Ex-Marine Charged With Bilking Fellow Servicemembers
Among other recent FINRA and SEC actions were a $1.4 million fine for Oppenheimer & Co. for penny-stock violations and insider trading charges against a former Green Mountain Coffee exec.
SEC Names Asset Management Enforcement Co-Chiefs, Legislative Director
Julie Riewe, Marshall Sprung to jointly run unit in enforcement division, while Timothy Henseler will direct Office of Legislative and Intergovernmental Affairs.
Meredith Whitney: I’m a ‘Growth Chaser,’ Not a ‘Doom and Gloomer’
Star analyst Meredith Whitney kicked off the IMCA conference Sunday in Seattle by decrying her reputation as a “doom and gloomer.”
SEC, FINRA Enforcement Roundup: Phony Broker Charged for Soliciting $500M
Among recent actions by the SEC and FINRA were charges against a private equity firm, a former executive and an unregistered broker over some $500 million in improper investment solicitations.
Janney Grabs UBS Rep, Recruits 25 Advisors Year-to-Date
The firm could finish the year with some 750 employee advisors, Private Client Group President Jerry Lombard said.
Janney Grabs Morgan Stanley Rep, Aims to Grow Advisor Headcount 5%
The firm has added 15 reps this year from Merrill Lynch, Morgan Keegan and other broker-dealers and plans to hire 25 to 30 more, said private client group president Jerry Lombard.