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By Marlene Y. Satter, AdvisorOne |
July 24, 2012
This week in new hires, Achaean Financial announced that Professor Shlomo Benartzi would become its first academic advisor, and Michele Wein Layne was named regional director of the SEC’s Los Angeles regional office.
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By Editorial Staff |
August 18, 2011
A roundup of recent charges, penalties and settlements--this week relating to fraud, insider trading and failure to supervise--from the SEC and FINRA.