public accounting

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  New Hire Roundup: Collins Named as TDAI’s Head of Advisor Transitions

  By Marlene Y. Satter, AdvisorOne  |  March 20, 2013

  Also this week in new hires, John Mastal joined Convergent Wealth, and E. Thomas Johnson Jr. went to Retirement Clearinghouse.

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  New Hire Roundup: CFP Board Announces Chair Appointments

  By Marlene Y. Satter, AdvisorOne  |  January 30, 2013

  This week in new hires, John Byrne and Bryan Hissong returned to Prudential Retirement, and Jac McLean was named head of distribution at Hartford Mutual Funds.

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  New Hire Roundup: Mullis Joins Securities America; BlackRock’s New Strategist

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

  This week in new hires, Michael Mullis became a registered rep with Securities America; BlackRock named Russ Koesterich its new chief investment strategist; and Michael Davis left EBSA for Prudential.

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  SEC Enforcement Roundup: BP to Pay Third Largest Penalty in SEC History

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

  As part of the $4.5 billion settlement with the U.S., BP admitted to misleading investors about the rate of the oil flow in the Deepwater Horizon disaster in the Gulf of Mexico in 2010.

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  The Custody Rule and its Ramifications

  By Les Abromovitz  |  January 1, 2012

  When an RIA takes custody of a client’s funds or securities, risk to that individual increases dramatically. Rule 206(4)-2 under the Investment Advisers Act (better known as the Custody Rule), was passed to protect clients from unscrupulous investors.