Connecticut

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  Advisors Giving Back: Holiday Slideshow, Part II

  By Janet Levaux, AdvisorOne  |  December 26, 2012

  In the second of three slideshows, we pay homage to advisors and their partners who share of their time and talents with their local, national and global community.

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  Advisors Giving Back: Holiday Slideshow, Part I

  By Janet Levaux, AdvisorOne  |  December 21, 2012

  In our latest slideshow, we pay homage to advisors and their partners who share of their time and talents with their local, national and global community.

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  SEC, FINRA Enforcement Roundup: Allianz, TheStreet Charged

  By Marlene Y. Satter, AdvisorOne  |  December 20, 2012

  Among recent enforcement actions taken by the SEC were charges against Allianz for violations of the Foreign Corrupt Practices Act that resulted in penalties of more than $12.3 million; against a Connecticut-based advisor for telling clients it was investing in the same collateralized debt obligations it recommended for them; against...

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  LPL Grabs Top Ex-MetLife Team

  By Janet Levaux, AdvisorOne  |  December 10, 2012

  Legacy Financial moves to independence with about $150 million in client assets in Rochester, N.Y.

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  11 Senators Unite on Resolution to Protect Retirement Tax Incentives

  By Melanie Waddell, AdvisorOne  |  December 7, 2012

  With fiscal cliff negotiations putting tax incentives for retirement savings potentially on the chopping block, 11 senators have voiced their support for the employer-based retirement system by joining forces on a Sense of the Congress resolution.

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  RIA Washington Wealth Adds Two Teams, Hits $1B in Recruited Assets

  By Janet Levaux, AdvisorOne  |  December 5, 2012

  The independent hybrid RIA is led by ex-wirehouse reps and uses LPL Financial as a broker-dealer.

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  SEC, FINRA Enforcement Roundup: Fund Execs First to Face Charges of Overvaluing Assets

  By Marlene Y. Satter, AdvisorOne  |  November 29, 2012

  Three top executives of KCAP Financial Inc., a New York-based publicly traded fund being regulated as a business development company, have been charged by the SEC with overstating the fund’s assets during the financial crisis. a complaint against the president and owner of a Polish-born brokerage firm for targeting the Polish...

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  10 Best & Worst State Pension Systems

  By Danielle Andrus, AdvisorOne  |  November 29, 2012

  AdvisorOne focuses on the five best and five worst states Morningstar studied regarding their pensions' health.

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  U.S. Charges SAC Capital Unit in $276 Million Insider Trading Scheme

  By Melanie Waddell, AdvisorOne  |  November 20, 2012

  The SEC, in its largest insider trading case ever, and the Department of Justice charged hedge fund advisory firm CR Intrinsic Investors, which is a unit of SAC Capital, its former portfolio manager and a medical consultant with insider trading.

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  Recruiting Roundup: Wells Adds 31 FAs With $3.5 Billion

  By Janet Levaux, AdvisorOne  |  November 16, 2012

  LPL, Raymond James and Securities America also grab reps from rivals.