Georgia

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  SEC, FINRA Enforcement Roundup: Cantor Fitzgerald Hit by FINRA

  By Marlene Y. Satter, AdvisorOne  |  October 25, 2012

  Among recent SEC and FINRA actions were Cantor Fitzgerald being censured and fined and FINRA imposing a $14 million settlement on a Hong Kong-based firm charged with insider trading.

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  Stress Fracture: How to Save Your Relationship With Your Client

  By Angie Herbers  |  October 23, 2012

  In your waiting room a client watches the TV tuned to CNBC, which shouts out good news—the Dow is up 300 points. Oddly, her stress level skyrockets. Why?

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  SEC, FINRA Enforcement Roundup: Merrill Slapped With $500,000 Fine

  By Marlene Y. Satter, AdvisorOne  |  September 27, 2012

  Recent FINRA actions include a $500,000 fine against Merrill Lynch for failing to file required reports, and a joint action with the SEC and the exchanges against Hold Brothers.

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  United Capital Adds Sanders as New Atlanta-Based Division

  By Joyce Hanson, AdvisorOne  |  September 6, 2012

  In joining the RIA headquartered in Newport Beach, Calif., Sanders’ Atlanta office will help promote United Capital’s Honest Conversations and the Money Mind Analyzer.

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  SEC, FINRA Enforcement Roundup: Football Coach’s Ponzi Scheme; Wells Fargo Slapped

  By Marlene Y. Satter, AdvisorOne  |  August 16, 2012

  Recent actions by the SEC and FINRA ensnared a former Hall of Fame college football coach charged in an $80 million Ponzi scheme and a Wells Fargo vice president for failing to disclose the risks of mortgage-backed securities.

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  New Hire Roundup: FINRA Adds Three; Eichmann Goes to TheStreet

  By Marlene Y. Satter, AdvisorOne  |  August 16, 2012

  This week in new hires, FINRA added three new governors; Erwin Eichmann joined TheStreet as general counsel; and Putnam Investments named Darren Jaroch portfolio manager of another fund.

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  SEC, FINRA Enforcement Roundup: $268M Insider Trading Scheme Busted

  By Marlene Y. Satter, AdvisorOne  |  July 27, 2012

  Charges of insider trading in a secondary stock offering, accounting violations and efforts by a phony company president to push a fake penny-stock investment were among enforcement actions taken by the SEC.

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  12 Worst Financial Advisors in America

  By Ron Pechtimaldjian, AdvisorOne  |  July 26, 2012

  AdvisorOne found BrokerCop.com’s list and ranked each “Advisor Horribilis” from the past year in reverse order of horribleness, balancing amount of money stolen with amount of “ick” factor involved.

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  SEC, FINRA Enforcement Roundup: FBI Hunts Fugitive Advisor

  By Marlene Y. Satter, AdvisorOne  |  July 5, 2012

  In recent enforcement actions, an advisor on the lam who defrauded clients of nearly $40 million had his assets frozen by the SEC, and FINRA launched a pilot program for large arbitration cases.

• A Seasoned Guide for Uncertain Times

  By Jane Wollman Rusoff  |  June 27, 2012

  Allen D. Rutledge is a financial advisor for our uncertain times: the struggling economy, the high market volatility, the European debt crisis—everything holding back the post-global financial meltdown’s comeback.