Lehman Brothers Inc.

• 

  Lehman Payouts to Former Clients Will Begin in 2012: Trustee

  By Marlene Y. Satter, AdvisorOne  |  December 2, 2011

• 

  New Hire Roundup: Dubois and Wassmann Join LPL; Jenks Goes to Putnam; Adams to EBRI

  By Marlene Y. Satter  |  November 2, 2011

  This week in new hires, Dubois and Wassmann join LPL; Stephen Jenks went to Putnam Investments; Nevin Adams joined EBRI; Donald L. McDonald became CEO at Prime Advisors; HighTower brought in Ann Rieder; and Barclays added 6 new advisors.

• 

  FINRA Dismisses Lehman Case Against Former Employee

  By Marlene Y. Satter  |  October 13, 2011

  In an arbitration case decided Tuesday, FINRA decided against Lehman Brothers, which sought to recover $259,084.12 from a former employee, Jennifer Lorenc Mitchell.

• 

  New Hires Roundup: BondDesk Adds Bang; JHS Capital Gains Maguire Investments; Kern Is President of Advisor Partners

  By Marlene Y. Satter  |  August 18, 2011

  This week in new hires, Curley goes to Genworth; Goldman, Gendreau join Cetera; Polk adds Crandall; Herrera goes to AUL.

• 

  New Hire Roundup: At FDIC, Gruenberg Takes Helm From Bair; Bostrom Goes to SNR Denton

  By Marlene Y. Satter  |  July 21, 2011

  Also, this week in new hires, Lennon and Rappa join DC team, Unger to head plan sponsor sales at Russell; Grandeur Peak launched; Penn Mutual advances Flannery.

• SIFMA Elects Directors

  By Staff Writer  |  December 20, 2006

  The Securities Industry and Financial Services Association (SIFMA), announced December 20 that it has elected a Board of Directors, the same slate that was proposed at the November SIFMA Launch in Boca Raton, Florida, and nominated officers for whom it is expected that the Board will vote at its meeting...

• News & Products

  By Staff Writer  |  July 1, 2006

  The Securities and Exchange Commission announced on May 31 the institution of proceedings against 15 broker/dealer firms for engaging in violative practices in the $200...