Orange County

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  SEC, FINRA Enforcement Roundup: Husband and Wife Divert Funds to Buy Home

  By Marlene Y. Satter, AdvisorOne  |  May 16, 2013

  The SEC filed charges against a husband and wife, who are executives of China-based RINO International Corp., and FINRA fined and censured Deutsche Bank Securities for reporting failures.

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  Loss of Tax-Exempt Status Could Hurt Banks With Muni Exposure

  By Gil Weinreich, AdvisorOne  |  December 14, 2012

  Meredith Whitney’s warnings about a wave of bankruptcies two years ago didn’t kill munis, but will ending their tax-exempt status push these securities over the fiscal cliff?

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  Sandy Rips Through East Coast: The Aftermath

  By Phil Gusman, PropertyCasualty360.com  |  October 31, 2012

  Some coastal areas saw record storm-surge flooding, while strong winds knocked out power to more than 7 million customers in 15 states.

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  New Hire Roundup: U.S. Bank Names Jeppson CIO of Private Client Group

  By Marlene Y. Satter, AdvisorOne  |  October 3, 2012

  This week in new hires, Mary Martuscelli joined The Private Client Reserve as west region president, and Moss Adams announced a transition in leadership.

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  New Hire Roundup: TD Ameritrade Institutional Adds Dario

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

  Also this week in new hires, Joseph Nader joined Wescott Financial Advisory Group; Will Proctor went to a new spot at Neuberger Berman; and more.

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  6 U.S. Cities That Fell Off the Fiscal Cliff—and Survived

  By Dan Berman, AdvisorOne  |  August 21, 2012

  AdvisorOne looks at six municipalities that filed for bankruptcy but climbed their way back to solvency.

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  Bull Kiesel, Bear Shilling Clash Over Housing

  By John Sullivan, AdvisorOne  |  May 23, 2012

  "If housing goes down 20%, I will back up the truck and likely PIMCO will, too," Kiesel says. Shilling predicts "recessionary kinds of things" in the next three to four years.

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  TD Ameritrade’s Sales Chief Vows to Keep Pounding Fiduciary ‘Advocacy Drum’

  By James J. Green, AdvisorOne  |  April 6, 2012

  Peter Dorsey says he will work on continuing to attract breakaway brokers to TDAI custody platform; sees ongoing trend on ‘tuck-ins.’

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

  By Marlene Y. Satter, AdvisorOne  |  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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  Health Care Costs to Top $10,000 Per Worker for First Time in 2012

  By Marlene Y. Satter, AdvisorOne  |  October 3, 2011

  Despite the fact that health care costs are projected to rise at a slower rate in 2012 than they did in 2011, according to Aon Hewitt, the per-employee expense to companies will pass $10,000 for the first time in 2012. Employee expenses are on the rise as well.