Stephens

• 

  SEC, FINRA Enforcement Roundup: Phony Broker Charged for Soliciting $500M

  By Marlene Y. Satter, AdvisorOne  |  March 14, 2013

  Among recent actions by the SEC and FINRA were charges against a private equity firm, a former executive and an unregistered broker over some $500 million in improper investment solicitations.

• 

  Hall of Fame Winners to Date

  By Editorial Staff  |  November 20, 2012

  The full listing of Research Hall of Fame winners.

• 

  Knight Capital Blunder Hastens SEC Rulemaking on Exchange Integrity

  By Melanie Waddell, AdvisorOne  |  August 6, 2012

  After a computer mishap spewed orders through stock exchanges on Wednesday and led to a $440 million loss at market maker Knight Capital Group, the SEC is speeding efforts to require exchanges to ensure the “capacity and integrity of their systems.”

• 

  2011 Advisor Hall of Fame

  By Ellen Uzelac  |  November 23, 2011

  Welcome to Research Magazine's Advisor Hall of Fame, now in its 21st year. This eagerly anticipated annual feature has become a benchmark of excellence in our industry and an example to all of the rewards that result from effort and integrity.