law firms

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  SEC Names Butler to Head New Office of Credit Ratings

  By Melanie Waddell, AdvisorOne  |  June 15, 2012

  The SEC’s Office of Credit Ratings was created by the Dodd-Frank Act and is responsible for overseeing the nine registered Nationally Recognized Statistical Rating Organizations (NRSROs).

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  Cherish the Young(er)

  By James J. Green, AdvisorOne  |  February 1, 2012

  If you are serious about your commitment to your clients, you should be thinking beyond your own span of days to when you shake off this mortal coil and head to your own reward, and plan for who will take care of those clients after you’re retired or dead.

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  SEC Inspector General Kotz Leaving Agency

  By Melanie Waddell, AdvisorOne  |  January 17, 2012

  The SEC on Tuesday said that its inspector general, H. David Kotz, will leave the agency at the end of January to become the managing director in the Washington office of the private investigative services firm Gryphon Strategies.

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  Deficit Reduction Committee Gets to Work

  By Robert Bloink, Esq., LL.M., William H. Byrnes, Esq.  |  August 29, 2011

  Congress’ solution to the debt limit crisis and rising deficits is fully operational, but many are left wondering whether the bipartisan Joint Select Committee on Deficit Reduction is capable of fulfilling its mandate.

• Class Action Suit Costs Wachovia $590 million

  By Melanie Waddell, AdvisorOne  |  August 5, 2011

  In what’s being hailed as among the largest securities class action recoveries, Wachovia has been ordered to pay $590 million in a class-action settlement for losses incurred through purchases of Wachovia bonds and preferred securities between.

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  Roth Restructure Scheme Nets Couple $2 Million Tax Bill

  By William H. Byrnes, Esq., Robert Bloink, Esq., LL.M.  |  July 29, 2011

  The Tax Court recently upheld penalties against a couple who bought into a traditional IRA to Roth conversion scheme.

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  Doing It Right

  By Bob Clark, AdvisorOne  |  July 28, 2011

  David Grau’s been a friend of mine since 2001, when I worked with him and his newly formed FP Transitions for a few years to brand their expertise in helping independent advisors realize the value in their practices.

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  Marketing Reboot

  By John Sullivan, AdvisorOne  |  July 28, 2011

  "Let me tell you what happened at lunch today," Mark Smith says matter-of-factly when asked about marketing in the new era.