finance department

• 

  SEC Enforcement Roundup: Sister Charged With Illegally Tipping Off Brother

  By Marlene Y. Satter, AdvisorOne  |  April 18, 2013

  Among recent enforcement actions taken by the SEC were charges against a woman for illegally tipping her brother about quarterly earnings data from the firm she worked for.

• 

  New Hire Roundup: James Hanna Joins Genworth; Morningstar CFO Departs

  By Marlene Y. Satter, AdvisorOne  |  January 16, 2013

  This week in new hires, Genworth hires a new CTO; Morningstar announced changes in its senior management; and FSI hired Kathryn Anderson and added 500 new advisor members.

• 

  New Hire Roundup: FINRA Names New Corporate Communications Head

  By Marlene Y. Satter, AdvisorOne  |  September 12, 2012

  This week in new hires, FINRA announced that Greg Ahern will be its new head of corporate communications, and Neuberger & Berman welcomed Brendan Gill.

• 

  SEC Enforcement Roundup: $100M Real Estate Ponzi Scheme Busted

  By Marlene Y. Satter, AdvisorOne  |  June 28, 2012

  Recent SEC actions include shutting down two Ponzi schemes, one that brought in $100 million and another that collected $42 million. A Malaysian advisor was sued for not advising.