Allianz SE

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  SEC, FINRA Enforcement Roundup: Allianz, TheStreet Charged

  By Marlene Y. Satter, AdvisorOne  |  December 20, 2012

  Among recent enforcement actions taken by the SEC were charges against Allianz for violations of the Foreign Corrupt Practices Act that resulted in penalties of more than $12.3 million; against a Connecticut-based advisor for telling clients it was investing in the same collateralized debt obligations it recommended for them; against...

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  London Could Lose Out Over Eurozone Banking Union

  By Marlene Y. Satter, AdvisorOne  |  November 1, 2012

  Opposition to an EU budget freeze and to Britain’s joining a eurozone banking union could cost the City of London its position at the top of the world’s financial centers.

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  New Hire Roundup: Wedbush Private Client Services Group Adds Wright

  By Marlene Y. Satter, AdvisorOne  |  October 31, 2012

  Also this week in new hires, Lance Losey and Mary Welk joined Ascent Private Capital Management and Michael Millman joined The Private Client Reserve in San Francisco.