University of Rochester

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  SEC’s Top Cop, Khuzami, to Leave

  By Melanie Waddell, AdvisorOne  |  January 9, 2013

  The SEC’s top cop, Robert Khuzami, plans to leave the agency later this month after four years as its enforcement director, the SEC announced Wednesday.

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  Sentimental Fools: Pity the Poor Mutual Fund Investor

  By Michael Finke  |  November 21, 2012

  Mutual fund investors exhibit remarkable skill when selecting mutual funds--remarkably awful, that is. How an advisor can help underperforming fund investors avoid sentimental pitfalls.

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  New Hire Roundup: FINRA Adds Three; Eichmann Goes to TheStreet

  By Marlene Y. Satter, AdvisorOne  |  August 16, 2012

  This week in new hires, FINRA added three new governors; Erwin Eichmann joined TheStreet as general counsel; and Putnam Investments named Darren Jaroch portfolio manager of another fund.

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  What Are Advisors Doing Wrong? Ask 3 Simple Questions

  By John Sullivan, AdvisorOne  |  May 22, 2012

  Three simple questions are all it takes when evaluating money managers, yet Rupal Bhansali says they’re three questions too often overlooked by advisors and clients alike.

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  Retirement Master

  By Jane Wollman Rusoff  |  December 26, 2011

  At 31, Marcia Mantell was thrilled to step into retirement. Not her own — but the burgeoning financial services’ retirement industry. The year was 1992.

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  Enron Bankruptcy 10 Years Later: Before Bailouts Were Big

  By Gil Weinreich, AdvisorOne  |  December 2, 2011

  Though just a decade ago, the Enron era in some ways seems to belong to another era—a time when failing companies met with bankruptcy rather than bailouts.