pharmaceutical

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  Pharmaceutical Patent Ruling Pinches Opportunities in Emerging Markets

  By Marlene Y. Satter, AdvisorOne  |  May 9, 2013

  The decision by an Indian court not to grant a new patent to drug firm Novartis for a modified form of its cancer drug Glivec was a heavy blow to the company.

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  Top 25 401(k)s for NYC-Based Companies: Where Are the Big Banks?

  By Joyce Hanson, AdvisorOne  |  March 22, 2013

  Say goodbye to BlackRock, Goldman Sachs, Morgan Stanley and other finance giants—this year's list of the best plans is seriously competitive.

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  SEC Enforcement Roundup: CR Intrinsic Slapped With Record Insider Trading Fine

  By Marlene Y. Satter, AdvisorOne  |  March 21, 2013

  The SEC settlement by CR Intrinsic was for $600 million, the largest ever in an insider trading case; meanwhile, a financier was charged in a scam involving pre-IPO Facebook stock.

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  Federal Securities Class-Action Suits Fell Sharply in ’12

  By Melanie Waddell, AdvisorOne  |  January 25, 2013

  Federal securities fraud class-action filings fell sharply in 2012, with the second-lowest number of annual filings in 16 years, according to Cornerstone Research.

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  Annuities 2020: Will the Future of VAs Look Like Their Past?

  By Moshe A. Milevsky  |  December 20, 2012

  Perhaps the next step in the evolution of retirement annuities is to go back to the past. Maybe the annuity of the year 2020 pays out no cash at all, but instead offers an actual retirement service. Allow me to explain.

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  U.S. Charges SAC Capital Unit in $276 Million Insider Trading Scheme

  By Melanie Waddell, AdvisorOne  |  November 20, 2012

  The SEC, in its largest insider trading case ever, and the Department of Justice charged hedge fund advisory firm CR Intrinsic Investors, which is a unit of SAC Capital, its former portfolio manager and a medical consultant with insider trading.

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  SEC Enforcement Roundup: High School Dropout ‘Advisor’ Busted for Fraud

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

  The SEC charged a man who was high school dropout and a phony “investment advisor” who spent his clients’ funds on drugs and gambling; and a group of former high school buddies were charged with engaging in insider trading.

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  Merrill Lynch Warns of Post-Election Double Whammy

  By Joyce Hanson, AdvisorOne  |  November 8, 2012

  Merrill Lynch Wealth Management recommends three talking points for financial advisors to keep in mind when talking with their clients.

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  SEC, FINRA, DOL Enforcement Roundup: 8 Charged for Insider Trading on Pharma Deal

  By Marlene Y. Satter, AdvisorOne  |  August 30, 2012

  Among the recent actions taken by the regulators were a settlement of $1.27 million to be paid by an advisory firm to 13 pension plans and charges in an insider trading ring.

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  SEC, FINRA Enforcement Roundup: Bristol-Myers Squibb Exec Charged

  By Marlene Y. Satter, AdvisorOne  |  August 2, 2012

  There was an international flavor to some of the recent actions taken by the SEC and FINRA, including freezing $38 million in assets in an international insider trading case and charges involving a Chinese reverse merger company.