Atlanta Regional Office

• 

  SEC Enforcement Roundup: Broker Charged With Stealing to Pay for Mortgage, Groceries

  By Marlene Y. Satter and Melanie Waddell, AdvisorOne  |  September 13, 2012

  Among recent SEC enforcement actions were charges that a broker stole client funds and used them to pay for his own personal expenses, including groceries and a mortgage.

• 

  SEC Charges 3 Brokers for Churning, Costing Clients $2.7 Million

  By Melanie Waddell, AdvisorOne  |  September 10, 2012

  The SEC said Monday that it has charged three former brokers at an Atlanta-based brokerage firm, JP Turner & Co., for “churning” the accounts of customers with conservative investment objectives, causing the customers to lose $2.7 million.

• 

  Do’s and Don’ts of Advisory Contracts

  By Les Abromovitz  |  January 1, 2012

  In preparation for a compliance exam, securities regulators typically will ask to see copies of an RIAs advisory agreements. An RIA must be able to produce requested contracts and the contracts must comply with applicable SEC or state rules.

• 

  New Hire Roundup: Fidelity Names Presidents, SIFMA Gains President and Board Members

  By Marlene Y. Satter, AdvisorOne  |  November 10, 2011

  This week in new hires, Fidelity Asset Management announced two new presidents in its fixed income division and SIFMA announced its new president and board members.