Investment Advisers

Liquidation not needed, developer HDG Mansur tells court

September 15, 2014
 Bloomberg News and IBJ Staff
Two affiliates of troubled Indianapolis-based developer HDG Mansur oppose requests to appoint a Chapter 11 trustee or convert the case to a liquidation in Chapter 7, saying significant progress has been made toward a plan and global settlement of claims.
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Local man faces 20 investment-related felony counts

August 13, 2014
Jeff Newman
Robert E. Wilson, 54, who operated locally based Wellington Institutional Management LCC, was charged in Marion County Court with 10 counts of securities fraud and 10 counts of being an unregistered broker-dealer.
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Investor reimbursement fund off to slow start

August 2, 2014
Chris O'Malley
Time required for investigations, prosecutions caused delays.
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Financial planner parlays meals for clients into money lessonsRestricted Content

July 19, 2014
Andrea Muirragui Davis
Joe Clark says the two things that seem to matter to people the most are food and money. He has found a way to combine the two, cooking for client families in their homes once or twice a month as he answers questions and gets to know them better.
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Feds probe whether HDG Mansur took millions from clientRestricted Content

May 10, 2014
Scott Olson
HDG Mansur has divulged in court documents that it’s the target of a federal criminal probe for allegedly skimming millions of dollars from a client.
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Kirr Marbach fund wins top Lipper recognitionRestricted Content

March 22, 2014
 IBJ Staff
Columbus, Ind.-based Kirr Marbach & Co. LLC is furthering its reputation for smart stock picking among the nation’s investment advisers.
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Charles Schwab may move jobs from California to Indiana

February 6, 2014
Associated Press
Charles Schwab Corp. said Thursday it is planning to move about 1,000 jobs out of San Francisco over the next three to five years.
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Investment manager sees good growth prospects for 2014

January 4, 2014
Norm Heikens
Tom Pence predicts change for U.S. manufacturing.
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Finish Line shares continue climb after upgrade

November 25, 2013
Associated Press
Two investment analysts raised their ratings for Finish Line on Monday, saying the Indianapolis-based athletic shoe and clothing retailer has the opportunity for margin recovery and a stronger online performance.
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Parade of settlements continues for local securities firmsRestricted Content

October 19, 2013
Chris O'Malley
A third securities firm in the region has been slapped with sanctions by federal regulators.
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Investment rep fined over disclosure rulesRestricted Content

September 28, 2013
 IBJ Staff
A Bartholomew County investment representative will pay a $20,000 fine under an agreement with regulators over allegations he failed to make proper disclosures in research reports.
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Mighty Oxford Financial loses big case with clientRestricted Content

July 20, 2013
Greg Andrews
An arbitrator ordered the Carmel financial-advisory firm to pay $2.2 million to Reid Hospital & Health Services of Richmond. The dispute involved a delay in executing trades in 2011 that the hospital alleged cost it $2.5 million.
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Regulators suspend broker for not disclosing bankruptcyRestricted Content

July 20, 2013
FINRA fined Zionsville financial adviser Stephen W. Bracken $5,000 and barred him from affiliating with a member firm for three months.
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State pensions' strategy shift causes manager fees to riseRestricted Content

July 28, 2012
Kathleen McLaughlin
The $25.3 billion Indiana Public Retirement System is in the midst of hiring managers to carry out a strategy where more money will be in hedge funds, private equity and real estate than stocks.
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State securities regulators strike deal with E-Trade

June 13, 2012
 IBJ Staff
The Indiana Securities Division has finalized a settlement with financial-services firm E-Trade following accusations that the company misled Hoosier investors about the safety of auction-rate securities, Secretary of State Connie Lawson said Wednesday.
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At 92, Danielson's banking career is still goingRestricted Content

May 19, 2012
Sam Stall
City Securities co-chairman still dispenses wisdom accumulated over a career touching on everything from baseball to folding doors.
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Hauke receiver files suit to recover $600K from Arizona investor

April 11, 2012
J.K. Wall
Attorney William Wendling will try to collect $1 million to $2 million from a handful of investors in Samex Capital Ponzi scheme.
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Two charged in $2.2M scheme against Colts' Freeney

March 28, 2012
Associated Press
A financial adviser for Indianapolis Colts defensive end Dwight Freeney and the adviser's lover have been arrested on federal wire fraud charges that allege they swindled about $2.2 million from the lineman.
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Client seeks lost revenue from Oxford FinancialRestricted Content

March 24, 2012
Greg Andrews
Reid Hospital & Health Care Services in Richmond alleges the financial adviser's delay in selling investments cost the hospital more than $2.5 million.
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Ex-investment manager Hauke gets 10 years for fraud

March 23, 2012
Scott Olson
Keenan Hauke of Fishers, who pleaded guilty to securities fraud in December after costing hedge fund clients $7 million, received a 10-year federal prison sentence Friday morning.
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Teachers trust fund broker reaches settlement

March 13, 2012
David Karandos, a broker who advised the Indiana State Teachers Association Insurance Trust before it collapsed in 2009, has reached a settlement. Karandos agreed to a 75-day suspension from working in the securities industry and may pay up to $50,000 in restitution.
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Tax credits spur city apartment constructionRestricted Content

February 18, 2012
Scott Olson
Increase in federal funding helps developers finance projects that include mixed-income rental housing.
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Feds: Hauke OK'd disastrous real estate investments

December 14, 2011
Greg Andrews
Prosecutors allege Fishers investment manager Keenan Hauke hid losses for seven years by shifting assets among accounts and using new investors’ money to fund withdrawals.
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More Hoosier investment advisers will be regulated by stateRestricted Content

October 15, 2011
 IBJ Staff
The federal Dodd-Frank act shifts firms from Securities and Exchange Commission oversight.
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Dividend-paying investments becoming more attractiveRestricted Content

September 17, 2011
Scott Olson
Indianapolis-based Woodley Farra Manion Portfolio Management has rolled out an equity portfolio stacked with nothing but dividend-paying stocks that can provide a reliable source of income.
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