UN Court

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  Trader Caught in Apple Stock Scam

  By Melanie Waddell, AdvisorOne  |  April 15, 2013

  The SEC on Monday charged a former employee at a Connecticut-based brokerage firm with placing unauthorized orders to buy nearly $1 billion in Apple stock, ultimately causing the firm to cease operations.

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  SEC Skates in Madoff Case

  By John Sullivan, AdvisorOne  |  April 10, 2013

  Ruling deals a final blow to investors who claimed negligence on the part of the regulatory body.

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  After Stockton, Economist Sees More Pain in California and Beyond

  By Gil Weinreich, AdvisorOne  |  April 5, 2013

  For a broader look at the municipal finance crisis affecting California and the nation, AdvisorOne spoke with Bill Watkins, a veteran economic forecaster.

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  SEC, FINRA Enforcement Roundup: SAC Inquiry Nabs Sigma Portfolio Manager

  By Marlene Y. Satter, AdvisorOne  |  April 4, 2013

  Among recent actions by the SEC and FINRA were charges against a portfolio manager from Sigma Capital Management, an affiliate of SAC Capital Advisors.

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  One Advisor, Two Trials: Does News on One Taint the Other?

  By Melanie Waddell, AdvisorOne  |  March 28, 2013

  The SEC told a judge in Boston on Tuesday that a news release it issued on an advisor accused of a fake hedge fund scheme would not taint the advisor's separate criminal trial on a tax matter.

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  SEC, FINRA Enforcement Roundup: 31 NFL Players Bilked by Broker’s Casino Deal

  By Marlene Y. Satter, AdvisorOne  |  March 7, 2013

  FINRA and the SEC recently acted on issues that included the fleecing of 31 NFL players via high-risk casino securities and a rep who conducted a Ponzi scheme under his firm’s nose.

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  SEC, FINRA Enforcement Roundup: Shareholder Suit Against UBS Reinstated

  By Marlene Y. Satter, AdvisorOne  |  January 10, 2013

  In recent enforcement news, an appeals court reinstated a suit against UBS subsidiaries by two Puerto Rico-based pension funds over a $757 million bond purchase.

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  AIG Suit Debate Sparks Outrage

  By Arthur D. Postal, PropertyCasualty360.com  |  January 9, 2013

  The director of Consumer Federation of America calls Greenberg’s remaining suit “outrageous.”

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  Judge Says Greenberg Accusations Against Fed ‘Worthy of an Oliver Stone Movie’

  By Arthur D. Postal, PropertyCasualty360.com  |  November 20, 2012

  A federal district court judge in New York on Monday dismissed a lawsuit brought by former AIG chief Maurice “Hank” Greenberg against the Federal Reserve Board regarding the Fed's rescue of AIG in 2008.

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  U.S. Charges SAC Capital Unit in $276 Million Insider Trading Scheme

  By Melanie Waddell, AdvisorOne  |  November 20, 2012

  The SEC, in its largest insider trading case ever, and the Department of Justice charged hedge fund advisory firm CR Intrinsic Investors, which is a unit of SAC Capital, its former portfolio manager and a medical consultant with insider trading.