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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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By Marlene Y. Satter, AdvisorOne |
June 7, 2012
FINRA and the SEC issued enforcement actions recently for inadequate measures against Ponzi schemes, fund misappropriation, inappropriate sales materials for ETFs and penny stock pumping.