oil and gas industry

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  SEC: Oil and Gas Private Securities Fraud on the Rise

  By Melanie Waddell, AdvisorOne  |  May 6, 2013

  The SEC is warning investors that working with an advisor doesn’t guarantee they won’t be scammed in private oil and gas offerings.

• BDs Share Latest FA

  By Janet Levaux  |  April 29, 2013

  In early April, Baird said it recruited a team of seven employee advisors with about $770 million in client assets from Wells Fargo in Houston, while Royal Alliance announced that it added two independent teams in Chicago and Salt Lake City with combined assets of more than $400 million and...

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  Recruiting Roundup: Baird Grabs Wells FAs, UBS Branch Manager; Royal Adds 2 Indie Groups

  By Janet Levaux, AdvisorOne  |  April 9, 2013

  The new Baird group has about $770 million in client assets, and the new Royal Alliance-affiliated reps have more than $400 million.

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  EU Sanctions Iranian Oil, Gas

  By Marlene Y. Satter, AdvisorOne  |  October 16, 2012

  EU governments hit Iran with new sanctions on its oil and gas and toughened some that were already in place on the country’s banks.

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  DOL, SEC Enforcement Roundup: 401(k) Trustees Sentenced for Embezzlement

  By Marlene Y. Satter, AdvisorOne  |  October 5, 2012

  The DOL and the SEC took action recently on a number of cases that included embezzlement and breach of fiduciary duty, illegal tips on M&As, failure to protect confidential information and fraud.

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  NHS Hospitals Urged to Expand Overseas

  By Marlene Y. Satter, AdvisorOne  |  August 21, 2012

  Britain is urging major hospitals in its National Health Service to look beyond the country’s borders and offer foreign governments access to U.K. health services in the quest for profit.

• Steady Returns for a Wealth of Investment Strategies

  By Ed McCarthy, CFP  |  June 27, 2012

  I’s been a year of contrasts in the U.S. energy business.

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  10 Best Cities for Jobs in Financial Services

  By Danielle Andrus, AdvisorOne  |  March 27, 2012

  According to a report by Accounting Principals, a job placement agency for financial and accounting professionals, smaller markets are proving to provide big opportunities for job hunters.

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  Top 10 Wealthiest U.S. Cities for 2011

  By Joyce Hanson, AdvisorOne  |  July 13, 2011

  A study shows that the number of HNW individuals, benefiting from stocks and commodities, keeps growing in these 10 U.S. cities.