U.S. Court of Appeals

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  Obama’s Associate Counsel Small Named SEC General Counsel

  By Melanie Waddell, AdvisorOne  |  April 23, 2013

  The SEC announced Tuesday that Anne Small, President Obama’s special assistant and associate counsel, has been named general counsel of the agency.

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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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  IRAs: In General

  By Tax Facts Online  |  March 4, 2013

  Individual Retirement Accounts are highly popular tools for contributing funds that grow on a tax deferred basis. Depending on the type of IRA, the accumulation can be tax free.

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  New Hire Roundup: Putnam Names New GAA Leadership Team

  By Marlene Y. Satter, AdvisorOne  |  February 6, 2013

  This week in new hires, Putnam announced a new leadership team for its global asset allocation organization, and Steve Antonakes became acting deputy director of the Consumer Financial Protection Bureau.

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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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  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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  Goldman Loses Appeal on $20M FINRA Clearing Case

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

  Goldman acted as a clearing broker and prime broker for hedge funds associated with the Bayou Funds, an alleged Ponzi scheme that collapsed in 2005.

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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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  Blow to Morgan Keegan as Appeals Court Tosses Out Ruling Against SEC

  By Melanie Waddell, AdvisorOne  |  May 4, 2012

  Decision by the U.S. Court of Appeals vacated a lower court’s summary judgment against the SEC in a case involving Morgan Keegan’s handling of auction rate securities.

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  New Hire Roundup: Solomon Named to SEC; Securities America Welcomes Lindsey

  By Marlene Y. Satter, AdvisorOne  |  April 19, 2012

  This week in new hires, Matthew Solomon joined the SEC's enforcement division and John Lindsey went to Securities America.