Connecticut

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  Top 10 Tax Cheats: the Big, the Bad & the Weird

  By Dan Berman, AdvisorOne  |  March 5, 2013

  From the infamous Al Capone to our top choice (you won’t believe what job he held before his conviction), these 10 learned the lesson the hard way—and some learned it repeatedly.

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  DOL, SEC, FINRA Enforcement Roundup: DOL Recovers $43 Million for Madoff Victims

  By Marlene Y. Satter, AdvisorOne  |  February 28, 2013

  Among other recent enforcement actions were SEC charges against two Connecticut-based hedge fund managers and their firms for fraud.

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  Top 5 Retirement Issues

  By Editorial Staff  |  February 25, 2013

  Investment Advisor talked to several of the main players on the retirement stage to get their thoughts on the big challenges of modern retirement.

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  New Hire Roundup: BlackRock Names Shedlin CFO

  By Marlene Y. Satter, AdvisorOne  |  February 20, 2013

  This week in new hires, Gary Shedlin was named CFO of BlackRock, and Mary Justice was named Seattle market leader for the Private Client Reserve of U.S. Bank.

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  Top Portfolio Products: OneAmerica Debuts Index(k)

  By Marlene Y. Satter, AdvisorOne  |  February 15, 2013

  New products introduced over the last week include the CurrencyShares Singapore Dollar Trust from Guggenheim Investments and the Salient Global Equity Fund from Salient Partners.

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  DOL Slams ING Life and Annuity With $5.2M Fine

  By Melanie Waddell, AdvisorOne  |  February 4, 2013

  The company was fined over its failure to disclose investment gains achieved when it failed to process requested transactions in a timely manner.

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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: $300M Resort Scam Leads to Rum-Soaked Investment

  By Marlene Y. Satter, AdvisorOne  |  January 31, 2013

  Among other enforcement actions this week, the SEC charged five former real estate executives in a $300 million Ponzi scheme involving phony investments in resorts. The spoils went toward boats, planes and a rum distillery.

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  SEC Charges Former Jefferies Exec With MBS Fraud

  By Melanie Waddell, AdvisorOne  |  January 28, 2013

  The SEC on Monday charged a former executive at New York-based broker-dealer Jefferies & Co. with defrauding investors while selling mortgage-backed securities in the wake of the financial crisis.

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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.