Tennessee

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  11 Key Congressional Committees for Advisors to Worry About

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

  As the election approaches, not just the White House and Congress are in play, but also control of congressional committees important to advisors and others in the financial services sector.

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  Sen. Corker: SEC Nearing a Money-Market Fund Solution

  By Melanie Waddell, AdvisorOne  |  September 18, 2012

  The senator urged the SEC in a letter to move ahead with further reform, saying “a run on money-market funds is still a real risk.”

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  LPL Team Jumps to Raymond James, Buys a Practice

  By Janet Levaux, AdvisorOne  |  September 17, 2012

  The merged practice, based in Tennessee, should have about $150 million in assets under management.

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  SEC, FINRA, DOL Enforcement Roundup: 8 Charged for Insider Trading on Pharma Deal

  By Marlene Y. Satter, AdvisorOne  |  August 30, 2012

  Among the recent actions taken by the regulators were a settlement of $1.27 million to be paid by an advisory firm to 13 pension plans and charges in an insider trading ring.

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  12 Worst Financial Advisors in America

  By Ron Pechtimaldjian, AdvisorOne  |  July 26, 2012

  AdvisorOne found BrokerCop.com’s list and ranked each “Advisor Horribilis” from the past year in reverse order of horribleness, balancing amount of money stolen with amount of “ick” factor involved.

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  New Hire Roundup: Feldman Named Gold Bullion CEO

  By Marlene Y. Satter, AdvisorOne  |  July 18, 2012

  This week in new hires, Steven Feldman was named CEO and Eric Schwartz was made chairman of the board at Gold Bullion International, and United Capital brought in three new management team members.

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  New Hire Roundup: Putnam Adds Three; Wagner Retires From BlackRock, Joins Board

  By Marlene Y. Satter, AdvisorOne  |  June 27, 2012

  This week in new hires, David Scheetz, Edward Deeds and James Axford joined Putnam Investments; and Susan Wagner retired as vice chairwoman of BlackRock and was named to its board.

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  7 Biggest IPO Flops of Last 25 Years

  By Dan Berman, AdvisorOne  |  June 19, 2012

  Some big IPOs, like Visa and UPS, have been a boon to investors, but others have been squashed by their own weight.

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  Compass Powers Up With Big Plans for Volatility-Weighted Indexes and Funds

  By Joyce Hanson, AdvisorOne  |  June 15, 2012

  Compass EMP Funds CIO Steve Hammers says that due to the broad market enhancement of the CEMP Indexes, his firm’s proprietary methodology is patent pending.

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  New Hire Roundup: Christian Named FiNet President

  By Marlene Y. Satter, AdvisorOne  |  June 6, 2012

  This week in new hires, Kent Christian was named the new president of FiNet; BlackRock named Mark Howard-Johnson head of global real estate securities management; and Ross Hikida became a member of AARM Corp.’s board.