risk management

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  Oppenheimer Pays $35 Million for Misleading Advisors and Shareholders

  By Gil Weinreich, AdvisorOne  |  June 6, 2012

  Standard investment industry warnings about reading the prospectus would have done little good to investors in two Oppenheimer bond mutual funds, whose misleading statements cost the fund company $35 million in SEC sanctions.

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  Sterne Agee Adds Wealth and Estate Management Group

  By Michael S. Fischer  |  May 30, 2012

  Sterne Agee, a privately owned investment banking and brokerage firm in Birmingham, Ala., opened a wealth and estate management group last week.

• Mutual Fund Directors Forum Issues Guidance for Securities Lending

  By John Sullivan, AdvisorOne  |  May 18, 2012

  The Mutual Fund Directors Forum announced Thursday that it has released a special report titled “Practical Guidance for Directors on the Oversight of Securities Lending.”

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  SRI Investor Coalition Tells Shale Energy Companies to Clean Up Their Act

  By Gil Weinreich, AdvisorOne  |  May 17, 2012

  A coalition of investors committed to environmental stewardship and corporate responsibility are using their combined $1 trillion in assets to pressure energy companies to adhere to “best practices” in fracking shale oil gas.

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  New Hire Roundup: Kapoor Rises at Morningstar; Chilton Trust Gains Approval

  By Marlene Y. Satter, AdvisorOne  |  May 17, 2012

  This week in new hires, Morningstar promoted Kunal Kapoor; Chilton Trust was approved by the Florida Office of Financial Regulation; and Duff & Phelps announced a new independent broker-dealer due diligence practice.

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  Jefferson National Adds Alternative Investment Offerings

  By John Sullivan, AdvisorOne  |  May 14, 2012

  Company claims recent additions means it has more than 65 tax-deferred funds in the alternative investment category.

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  London’s ‘Whale’ Loses $2 Billion for JPMorgan

  By Marlene Y. Satter, AdvisorOne  |  May 11, 2012

  CEO Jamie Dimon said that the office suffered an “egregious” failure and that losses from volatile synthetic credit securities could mount by another $1 billion in this quarter or the third.

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  Top Portfolio Products: New Corporate Bond ETF From iShares

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

  Global X launches MLP ETF, and AdvisorShares plans Global Echo sustainable ETF launch in May.

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  Natixis Expands Operations in Alternative Investments

  By Joyce Hanson, AdvisorOne  |  April 17, 2012

  Natixis Global Asset Management's team of analysts will total 24 members by May, says Dave Giunta, president and CEO of NGAM U.S. Distribution.

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  New Hire Roundup: Mason Is CIO at OneAmerica; Rodilosso Joins Market Vectors

  By Marlene Y. Satter, AdvisorOne  |  April 4, 2012

  This week in new hires, John Mason became CIO at OneAmerica Financial Partners and Francis Rodilosso went to Market Vectors ETFs.