broker-dealer subsidiary

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  New Hire Roundup: Putnam Names New GAA Leadership Team

  By Marlene Y. Satter, AdvisorOne  |  February 6, 2013

  This week in new hires, Putnam announced a new leadership team for its global asset allocation organization, and Steve Antonakes became acting deputy director of the Consumer Financial Protection Bureau.

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  SEC’s 16 Biggest Penalties Since Financial Crisis

  By Melanie Waddell, AdvisorOne  |  January 24, 2013

  The SEC recently released a roundup of its financial crisis enforcement actions, highlighting some of the more than 150 firms and individuals the agency has levied charges against since 2008.

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  It’s Still the Economy, Stupid: TD Ameritrade Poll Ahead of Election

  By Joyce Hanson, AdvisorOne  |  November 1, 2012

  Retail investors named three issues as weighing heaviest on their confidence in the stock market, according to TD Ameritrade's Investor Sentiment Poll.

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  SEC, FINRA, DOL Enforcement Roundup: Investing Website Exposed as $600M Scam

  By Marlene Y. Satter, AdvisorOne  |  August 23, 2012

  A CEO who fed inside tips to a pro baseball player and an investment website running a $600 million Ponzi scheme were among those charged by the SEC recently.

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  Clearing's New Space

  By Jane Wollman Rusoff  |  August 23, 2012

  In these challenging times—lethargic economy, record-low interest rates, high market volatility, softer trading volumes and a regulatory overhaul—the top firm in the clearing space has decided to totally transform its business model.

• Investacorp Chooses Erado for Social Media Strategy

  By John Sullivan, AdvisorOne  |  November 16, 2011

  In yet another indication that compliance walls to social media usage on the part of advisors are coming down, electronic compliance and archiving firm Erado announced Tuesday that it signed an agreement to provide social media compliance services to Investacorp.

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  Citigroup to Pay $285 Million to Settle SEC Charges on CDO Deal

  By Melanie Waddell, AdvisorOne  |  October 19, 2011

  The SEC charged Citigroup’s principal U.S. broker-dealer subsidiary with betting against clients who invested in the CDO as the housing market showed signs of distress.

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  FINRA Dismisses Lehman Case Against Former Employee

  By Marlene Y. Satter, AdvisorOne  |  October 13, 2011

  In an arbitration case decided Tuesday, FINRA decided against Lehman Brothers, which sought to recover $259,084.12 from a former employee, Jennifer Lorenc Mitchell.