Michigan

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  U.S. Charges SAC Capital Unit in $276 Million Insider Trading Scheme

  By Melanie Waddell, AdvisorOne  |  November 20, 2012

  The SEC, in its largest insider trading case ever, and the Department of Justice charged hedge fund advisory firm CR Intrinsic Investors, which is a unit of SAC Capital, its former portfolio manager and a medical consultant with insider trading.

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  Investors Cap Reports Profit on Growing Sales

  By Janet Levaux, AdvisorOne  |  November 14, 2012

  The independent broker-dealer has about 450 advisors with $8 billion in assets under management

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  New Hire Roundup: Commonwealth Named as a Top Place to Work—Again

  By Marlene Y. Satter, AdvisorOne  |  November 14, 2012

  This week in new hires, Commonwealth Financial Network once again made the Boston Globe’s list of top places to work in Massachusetts; Ellen Turf announced she would depart NAPFA next year; and Intech announced a new hire and promotions.

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  FINRA Enforcement Roundup: Hudson Valley CEO Barred Over Sneaky Day Trading, Fraud

  By Marlene Y. Satter, AdvisorOne  |  November 9, 2012

  Mark Gillis, the CEO of New York-based Hudson Valley Capital Management, was barred and his company expelled from the securities industry for defrauding its clearing firm and customers.

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  Barclays Recruits 18 Advisors; Morgan Stanley Adds 1; LPL Group Brings on Wells Team

  By Janet Levaux, AdvisorOne  |  November 7, 2012

  The new Barclays advisors come from many wirehouse and other firms with close to $40 million in yearly fees and commissions, as well as about $9.4 billion in assets.

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  4 Post-Election Fiscal Cliff Scenarios

  By Joyce Hanson, AdvisorOne  |  November 6, 2012

  Within a day or two, we'll finally know who voters want in Washington, but we still won't know whether we're headed over the fiscal cliff. Here are four scenarios of what might happen.

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  ‘Demand for Financial Security Is Colorblind’: FPA Leaders Meeting

  By John Sullivan, AdvisorOne  |  November 4, 2012

  "America is moving from 'e pluribus unum' to an authentically hybrid nation," a multicultural marketing expert said.

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  After Election, All Eyes Will Be on Lame-Duck Session

  By Melanie Waddell, AdvisorOne  |  October 23, 2012

  With the presidential election closing in, political pundits have been weighing in on which issues Congress must tackle during what political analyst Andy Friedman called “the mother of all lame-duck sessions.”

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  Best and Worst 529 College Plans for 2012: Morningstar

  By Joyce Hanson, AdvisorOne  |  October 18, 2012

  What’s striking this year is the big pool of winners, a reflection of the improvement in the 529 industry since it hit bottom in 2008—and seven of the 27 medalists are advisor-sold.

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  Morgan Stanley Sued for Targeting Black Homeowners

  By Janet Levaux, AdvisorOne  |  October 15, 2012

  According to the ACLU, who filed the lawsuit, the case is the first to link racial discrimination to mortgage-backed securities.