SEC Enforcement: Court Fines Advisor for Misleading Clients Into Switching Firms
Meanwhile, SEC charges four with posing as portfolio managers to steal inside information and then trading on it.
SEC Cracking Down on Wrap Fees; Wins Court Case
The SEC wins a long-running court case on wrap fees, while OCIE letter to RIAs signals the arrangements will be scrutinized in exams.
Hall of Fame Winners to Date
The full listing of Research Hall of Fame winners.
Stock Picking Goes Social as Stockr, aSpark Debut
Compliance issues be damned: tech entrepreneurs are moving full speed ahead into the finance space with social networking and mobile apps.
New Hire Roundup: FINRA Names New Corporate Communications Head
This week in new hires, FINRA announced that Greg Ahern will be its new head of corporate communications, and Neuberger & Berman welcomed Brendan Gill.
2011 Advisor Hall of Fame
Welcome to Research Magazine's Advisor Hall of Fame, now in its 21st year. This eagerly anticipated annual feature has become a benchmark of excellence in our industry and an example to all of the rewards that result from effort and integrity.
FINRA Orders Wedbush, Advisor to Pay $2.5+ Million in Abuse Case
Wedbush Securities and an advisor were ordered to pay an investor more than $2.5 million in a dispute that FINRA ruled on last Friday. The dispute concerned the treatment of Lauretta Kuppennan, whose son, Rick Cooper, brought charges on behalf of her estate against advisor Debbie Michelle Saleh.