Nuveen Investments

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  2012 Large-Cap SMA Manager of the Year Co-Winner: Santa Barbara Asset Management

  By John Sullivan, Advisorone  |  April 5, 2012

  Santa Barbara's Jim Boothe says he looks for “clean balance sheets, very strong cash flow and a commitment to dividends.”

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  2012 SMA Managers of the Year: Calm, Cool and Confident

  By John Sullivan, Advisorone  |  March 26, 2012

  The one thing seen among all of this year’s winners? “Dividend yield,” says Gib Watson, president and CEO of Prima Capital, IA's longtime partner in choosing the annual Separately Managed Account Managers of the Year.

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  New Hire Roundup: Dowling & Yahnke Advance 4; Key Private Bank Launches Delaware Trust

  By Marlene Y. Satter  |  February 15, 2012

  Among the hiring action this week: Dowling & Yahnke announced four promotions; Key Private Bank launched a Delaware trust company; Patrick Goshtigian joined EP Wealth Advisors; Jane Bachmann and Eugene Miller went to Citi Private Bank.

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  Frank Maiorano, CEO of Trust Company of America, Resigns

  By John Sullivan, Advisorone  |  December 2, 2011

  In a surprise move on Thursday, Trust Company of America announced that Frank Maiorano has resigned as CEO. Maiorano, the Nuveen and Schwab RIA alum, has been with the Colorado-based custodian for just under two years.

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  Building Trust With Tech

  By John Sullivan, Advisorone  |  October 1, 2011

  Frank Maiorano’s vision for clearing and custodial firm Trust Company of America includes a cutting-edge push into tablet technology.

• FINRA Levies $5 Million Fine Against SunTrust Affiliates

  By John Sullivan, Advisorone  |  July 26, 2011

  The Financial Industry Regulatory Authority FINRA fined SunTrust Robinson Humphrey and SunTrust Investment Services Tuesday for violations related to the sale of auction rate securities (ARS).

• Getting High in the Munibond Market

  By Ronald Delegge, ETFguide.com  |  June 1, 2011

• FINRA Fines Nuveen Investments $3 Million for Misleading Marketing

  By John Sullivan, Advisorone  |  May 24, 2011

  FINRA has fined Nuveen Investments, the largest manager of closed-end funds, $3 million for creating misleading ARPS brochures in 2008.

• Nuveen Investments Completes Purchase of FAF Advisors

  By John Sullivan, Advisorone  |  January 3, 2011

  ‘Strategic combination’ in exchange for stock, cash.

• Nuveen Acquires First American Funds Advisors

  By James J. Green, AdvisorOne  |  July 29, 2010

  Nuveen Investments announced Thursday, July 29, that it had acquired the long-term asset business of First American Funds Advisors (FAF) from U.S. Bancorp in exchange for a 9.5% stake in Nuveen and an undisclosed amount of cash.