Boston Regional Office

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  SEC Names Acting, Deputy Directors of Enforcement

  By Melanie Waddell, AdvisorOne  |  February 1, 2013

  The SEC announced Thursday that George Canellos has been named acting director, and that David Bergers, director of the SEC’s Boston Regional Office, has been named acting deputy director.

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  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.

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  SEC Charges Broker With Stealing Clients’ Money to Pay for Mortgage and Groceries

  By Melanie Waddell, AdvisorOne  |  September 13, 2012

  The broker and his company based in Danbury, Conn., were charged with stealing at least $600,000 from clients and using the money to pay for his mortgage, grocery bills and other personal expenses.

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  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.