Public Company Accounting Oversight Board

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  New Hire Roundup: U.S. Bank Wealth Management Welcomes Mook

  By Marlene Y. Satter, AdvisorOne  |  March 6, 2013

  This week in new hires, David Mook joined U.S. Bank Wealth Management, and Sterne Agee welcomed Robert Mohs to its Chicago office.

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  New Hire Roundup: Putnam Names New GAA Leadership Team

  By Marlene Y. Satter, AdvisorOne  |  February 6, 2013

  This week in new hires, Putnam announced a new leadership team for its global asset allocation organization, and Steve Antonakes became acting deputy director of the Consumer Financial Protection Bureau.

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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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  Oversight Board Calls First Report on BD Audits ‘Disturbing’

  By Melanie Waddell, AdvisorOne  |  August 20, 2012

  The PCAOB’s first report on the interim inspection program for auditors of SEC-registered BDs has found many of the audits lacking.

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  New Hire Roundup: FASB's Herz Joins Board at Morgan Stanley

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

  This week in new hires, Robert Herz elected to the board at Morgan; Dune Thorne joins Brown Advisory; SEC gets new head of investment advisor examination program.

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  FINRA Releases Its Cost Estimates in Assuming Advisor SRO Role

  By Melanie Waddell, AdvisorOne  |  April 25, 2012

  FINRA has released an estimate of what its start-up and ongoing annual investment costs would be should it become the SRO for advisors—an estimate far below projections released by the Boston Consulting Group.

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  New Hire Roundup: Solomon Named to SEC; Securities America Welcomes Lindsey

  By Marlene Y. Satter, AdvisorOne  |  April 19, 2012

  This week in new hires, Matthew Solomon joined the SEC's enforcement division and John Lindsey went to Securities America.

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  Harb, Levy & Weiland Merges With EisnerAmper

  By Joyce Hanson, AdvisorOne  |  February 27, 2012

  San Francisco-based accounting, tax and advisory firm Harb, Levy & Weiland announced Feb. 23 that it has joined forces with EisnerAmper.

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  New Hire Roundup: Mitchell Goes to Leuthold; Hoffman Joins Franklin Square

  By Marlene Y. Satter, AdvisorOne  |  February 8, 2012

  This week in new hires, the Leuthold Group named Ben Mitchell managing director; Robert Hoffman joined Franklin Square; Hilary Fiorella was welcomed at Fiserv and Keith Johnson joined Curian Capital.

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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.