U.S. District Court for the Central District of California

• Research Affiliates, WisdomTree Settle Dispute

  By Janet Levaux, AdvisorOne  |  December 20, 2012

  Research Affiliates and WisdomTree Investments said they recently reached a settlement regarding patent infringements and that Research Affiliates will pay WisdomTree $700,000 and withdraw its lawsuit.

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  Research Affiliates, WisdomTree Settle for $700,000

  By Janet Levaux, AdvisorOne  |  November 8, 2012

  The ETF provider WisdomTree will receive the one-time payment, and the parties pledge not to sue each other for the next eight years over indexes and strategies.

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  DOL, SEC Enforcement Roundup: 401(k) Trustees Sentenced for Embezzlement

  By Marlene Y. Satter, AdvisorOne  |  October 5, 2012

  The DOL and the SEC took action recently on a number of cases that included embezzlement and breach of fiduciary duty, illegal tips on M&As, failure to protect confidential information and fraud.

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  SEC Enforcement Roundup: Radio Financial Guru Charged

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

  Recent SEC enforcement actions include charges against a California man who tipped off a hedge fund manager with inside information and a radio personality who misled investors about an investing plan.

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  SEC, FINRA, DOL Enforcement Roundup: Investing Website Exposed as $600M Scam

  By Marlene Y. Satter, AdvisorOne  |  August 23, 2012

  A CEO who fed inside tips to a pro baseball player and an investment website running a $600 million Ponzi scheme were among those charged by the SEC recently.

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  Noncompliance Roundup: Stifel, Nicolaus; Citigroup; Janney

  By Editorial Staff  |  August 18, 2011

  A roundup of recent charges, penalties and settlements--this week relating to fraud, insider trading and failure to supervise--from the SEC and FINRA.