Nuveen Investments

• 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.

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  Nuveen and State Street Debut Build America Bond ETF

  By Simon Maierhofer, ETFguide.com, Simon Maierhofer, ETFguide.com  |  May 26, 2010

  Unlike most municipal bonds, BABs are taxable and current yields are comparable to corporate bonds, which historically have had a higher default rate than municipal bonds.

• Nuveen Says It Has 'Positive Momentum'

  By Janet Levaux, AdvisorOne  |  January 1, 2009

  In 2008, Nuveen Investments wrestled with the freeze-up of the auction-rate preferred securities market and sought to restore liquidity at par to preferred shareholders and...

• Deutsche Bank Launches Value-Focused ETNs

  By Staff Writer  |  August 1, 2008

  Deutsche Bank has announced it will issue ELEMENTS exchange-traded notes (ETNs) linked to Benjamin Graham Intelligent Value Indices. Benjamin Graham ELEMENTS ETNs are senior unsecured obligations...

• An Advisor's Advisor

  By Staff Writer  |  February 1, 2008

  Ask not what your clients can do for you -- ask what you can do for your clients. That variation on a John F. Kennedy theme...

• IN BRIEF

  By Janet Levaux, AdvisorOne  |  August 1, 2007

  Chicago-based Nuveen Investments says it is being acquired by a private-equity group led by Madison Dearborn Partners, LLC. As part of the deal, Nuveen stockholders...