Oregon

• 

  New Hire Roundup: Mozzocci Goes to Cantor Fitzgerald

  By Marlene Y. Satter, AdvisorOne  |  October 24, 2012

  This week in new hires, Cantor Fitzgerald Investment Advisors welcomed Theresa Mozzocci, and BondDesk announced that Howard Edelstein would add the role of CEO to his position as chairman.

• 

  Billionaire Ross Looks at Spanish Banks

  By Marlene Y. Satter, AdvisorOne  |  October 23, 2012

  Billionaire Wilbur Ross is considering adding assets from troubled large Spanish banks to his firm’s other bank holdings, and has said that he is in talks “every week” with bank representatives.

• 

  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.

• A Securities Transaction Tax Will Hurt Advisors and Clients

  By Dale Brown, Financial Services Institute  |  October 4, 2012

  Yes, limiting market volatility and increasing government revenue are worthy goals, but legislation imposing a securities transaction tax is the wrong way to reach those goals.

• 

  Hedge Fund Managers Charged With Ripping Off Investors, Including a Retired Teacher

  By Melanie Waddell, AdvisorOne  |  October 3, 2012

  The SEC charged one manager with stealing more than $500,000 from a retired schoolteacher who thought she was investing her retirement savings in a hedge fund.

• 

  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.

• 

  Whatever Happened to U.S. Stock Funds?

  By Joyce Hanson, AdvisorOne  |  September 25, 2012

  Flows out of U.S. equity funds such as Robert Zagunis' 20-year-old Jensen Quality Growth Fund can stem more from investor fear than fund quality.

• Recruiting Activity Gathering Steam As FAs Embrace Wide Range of Options

  By Janet Levaux, AdvisorOne  |  September 25, 2012

  Many brokers continued to move between the wirehouses in the late summer and early fall.

• 

  SEC Enforcement Roundup: Hedge Fund Manager’s $37 Million Ponzi Scheme Busted

  By Marlene Y. Satter, AdvisorOne  |  September 20, 2012

  Others facing SEC charges include a former director in a compensation scheme that netted hundreds of thousands of dollars in undisclosed income.

• 

  SEC Enforcement Roundup: Radio Financial Guru Charged

  By Marlene Y. Satter, AdvisorOne  |  September 6, 2012

  Recent SEC enforcement actions include charges against a California man who tipped off a hedge fund manager with inside information and a radio personality who misled investors about an investing plan.