U.S. Department of Labor

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  Thornburg, fi360 Team Up for Fiduciary Training Symposium

  By Joyce Hanson, AdvisorOne  |  April 5, 2013

  Thornburg's symposium featured the fi360 AIF capstone course and exam. What are your thoughts on fiduciary responsibility? Please take the AdvisorOne-fi360 Fiduciary Survey, which closes today.

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  The Disclosure Paradox: How Much Information Is Too Much?

  By Michael Finke  |  April 1, 2013

  Too much information can be as harmful to retirement plan decisions as too little.

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  SIFMA CEO Tim Ryan Leaves for JPMorgan

  By Melanie Waddell, AdvisorOne  |  January 8, 2013

  Tim Ryan, SIFMA president and CEO, resigned Tuesday after being named global head of regulatory policy and strategy at JPMorgan Chase.

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  New Hire Roundup: New National Segment Leaders at Mercer Hammond

  By Marlene Y. Satter, AdvisorOne  |  October 10, 2012

  This week in new hires, Mercer Hammond named three new national segment leaders, National Advisors Trust brought in Joseph Morsman, and BKD Wealth Advisors announced internal promotions.

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  SEC, DOL Enforcement Roundup: CDO Woes, Short-Selling Brothers, Amish Fund

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

  Recent actions by the SEC and DOL included fines of $127.5 million for a securities firm over false CDO credit ratings and $14.5 million for two short-selling brothers, along with deferred prosecution for an Amish fund.

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  New Hire Roundup–Securities America Promotes Hulett; Hendrickson Joins HSBC

  By Marlene Y. Satter, AdvisorOne  |  January 4, 2012

  This week in new hires, Securities America announced officer promotions and Damion Hendrickson joined HSBC.

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  New Hire Roundup: Fidelity Names Presidents, SIFMA Gains President and Board Members

  By Marlene Y. Satter, AdvisorOne  |  November 10, 2011

  This week in new hires, Fidelity Asset Management announced two new presidents in its fixed income division and SIFMA announced its new president and board members.

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  Labor Dept. Slaps BofA for Firing Countrywide Whistleblower

  By Janet Levaux, AdvisorOne  |  September 15, 2011

  Bank of America was ordered to rehire and pay $930,000 to a whistleblower who had exposed improprieties at Countrywide Financial. DOL said the firing violated the whistleblower-protection provisions of Sarbanes-Oxley.

• Obama Taps Economist Alan Krueger as Council Chairman

  By Joyce Hanson, AdvisorOne  |  August 29, 2011

  President Barack Obama nominated Alan Krueger, who served as the U.S. Treasury’s chief economist from 2009 to 2010, to replace Austan Goolsbee as chairman of the Council of Economic Advisers.

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  Olivia Mitchell: Helping Women Improve Their Financial Literacy—Top Women Extended Profile

  By Marlene Y. Satter, AdvisorOne  |  July 13, 2011

  Wharton professor, researcher and mentor tells AdvisorOne that her focus is on the next generation.