Merri Jo Gillette

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  SEC Charges UBS Arm With Improper Mutual Fund Pricing

  By Melanie Waddell, AdvisorOne  |  January 17, 2012

  The SEC on Tuesday charged an investment advisory arm of UBS with failing to properly price securities in three mutual funds that it managed, which resulted in a misstatement to investors of the net asset values of those funds.

• Wachovia Settles SEC's ARS Charges

  By Melanie Waddell, AdvisorOne  |  February 6, 2009

  The SEC announced a settlement with Wachovia Securities LLC that will provide more than $7 billion in liquidity to customers who invested in ARS before the market collapsed.

• SEC Names New Head of Midwest Office

  By Staff Writer  |  June 17, 2004

  Merri Jo Gillette, who helped lead the Securities and Exchange Commission's lawsuit against Pilgrim Baxter & Associates Ltd. for market timing of PBGH mutual funds, has been named regional director of the SEC's Midwest Regional Office.