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Investment Brokers
Judge says bank can pursue suit against broker
March 15, 2013
Scott OlsonA federal judge granted Peoples Bank a victory Thursday by ruling that it can sue Stifel Nicolaus & Co. on its claims that
the broker violated the Indiana Securities Act and committed fraud.
MoreFormer brokerage VP suing for sex, age discrimination
December 27, 2012
Dan HumanAttorneys for Dana Hurst say in a Dec. 20 court filing that David A. Noyes & Co. didn't grant her pay increases or year-end
bonuses during her last 15 years on the job, while male counterparts were better rewarded.
MoreREWIND: IBJ's top 10 business stories of 2012
December 26, 2012
The state's labor landscape changed, and the housing market improved. Indianapolis basked in the glow of
a flawless Super Bowl, and big-name CEOs were shown the door. IBJ's reporters and editors recall the year's
biggest stories.
Charter airline proposed by local entrepreneur on investment firm's radar
October 27, 2012
Chris O'MalleyLegacy Travel Club finds believer after months of fruitless fundraising locally.
MoreIndiana to hold securities brokers more accountable
June 29, 2012
Associated PressSecretary of State Connie Lawson said the new provisions will help her office provide better protection to investors.
MoreState securities regulators strike deal with E-Trade
June 13, 2012
IBJ StaffThe 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.
MoreAt 92, Danielson's banking career is still going
May 19, 2012
Sam StallCity Securities co-chairman still dispenses wisdom accumulated over a career touching on everything from baseball to folding
doors.
MoreEx-investment manager Hauke gets 10 years for fraud
March 23, 2012
Scott OlsonKeenan 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.
MoreTeachers 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.
MoreFeds: Hauke OK'd disastrous real estate investments
December 14, 2011
Greg AndrewsProsecutors allege Fishers investment manager Keenan Hauke hid losses for seven years by shifting assets among accounts and
using new investors’ money to fund withdrawals.
MoreMore Hoosier investment advisers will be regulated by state
October 15, 2011
IBJ StaffThe federal Dodd-Frank act shifts firms from Securities and Exchange Commission oversight.
MoreLEADING QUESTIONS: Investment guru on calming clients
September 2, 2011
Mason King
What does the CEO of City Securities Corp. say when shell-shocked investors want to sell? Does the recent market slide
point to a return of 2008? Where are the opportunities? Michael Bosway has answers.
State makes $31M settlement with securities firm
August 24, 2011
Raymond James has agreed to return $31.2 million to Indiana investors by repurchasing some auction rate securities. The firm
also will pay fines totaling $63,000.
MoreProbe: Investment adviser Hauke masked huge loss
August 20, 2011
Greg AndrewsFishers investment manager Keenan Hauke suffered massive losses in his hedge fund seven years ago. Then, rather than fess
up, he generated fake account statements for clients that showed money they didn’t really have and returns they hadn’t
earned, state investigators allege.
MoreLocal stocks pummeled in global sell-off
August 8, 2011
IBJ Staff and Associated PressStock prices of the dozen largest public companies in the Indianapolis area all tumbled Monday morning as a Standard &
Poor’s downgrade of U.S. debt spooked investors worldwide.
MoreKIM: Managers with skin in game most likely to perform well
August 6, 2011
It seems perfectly logical that you want to invest with a manager or fund where the manager has a significant amount invested
alongside you.
MoreInvestment firm buys former bank branch
January 22, 2011
IBJ StaffC.H. Douglas & Gray will relocate to 71st & College building previously owned by PNC Bank.
MoreTiny bank claims Stifel Nicolaus duped it on securities
January 10, 2011
J.K. WallThe Peoples State Bank of Ellettsville says it was duped three years ago into investing more than $13 million into auction-rate
securities just before those markets froze up. Now it's suing its broker, Stifel Nicolaus & Co., to get the money back.
MoreMoney flowing to international markets
January 1, 2011
Sam BrattainBooming growth, rising middle classes are attracting investors.
MoreSKARBECK: Brokerage soft costs under tighter scrutiny
December 11, 2010
Ken SkarbeckMany investment firms, hedge funds and mutual funds participate in this less-than-desirable industry practice.
MoreIndianapolis investment adviser Gene Tanner in it for the long haul
November 20, 2010
Norm HeikensAt 78, L. Gene Tanner is one of the longest-serving investment advisers working in Indianapolis. Tanner spoke with IBJ's
Norm Heikens about why he shifted to City Securities, his brush with convicted Ponzi scheme operator Bernard Madoff, and how
his investment strategy has changed.
MoreGold is booming, but for how long?
November 20, 2010
Marc D. AllanExperts are split over whether runup in precious metal is a classic bubble.
MorePRINCE: Why iPad could save investment firms money
November 20, 2010
Douglas PrinceThe device is projected to save Prince Group office at Stifel Nicolaus & Co. more than $3,000 in paper alone.
MoreSKARBECK: Short sellers maligned, but play a useful role
October 2, 2010
Ken SkarbeckTrue professional short sellers are typically intelligent, above-board investors who often alert the markets and investors
to overvalued securities and, in some cases, to fraud.
MoreBusiness school expands investment theme for students
September 18, 2010
Norm HeikensGrant will give Indiana University undergrads a shot at managing real money.
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Saw the Indy Men's Chorus "Music of Gilbert & Sullivan" at the Indiana Historical Society on Sunday evening.
Temporary workers are not "tools" they are people and companies that keep large amounts of temp staff are cheating.
I miss having them around. I hope one of their stores is in the general Meridian/86th Street area. I will make good use of it.
The Fringe! Plus, the simple fact that there are so many local faves in such close proximity to each other.
I remenber, watching the toll road, being built, through South Bend, when I was 10 years old. I believe, back then that it was estimated, that the toll road, would be paid for in 20 years and then it would be free. I am now 71, what happened? Since the power is in the people, by that, I mean that, we the people are in total control of everything. I, suggest that no one ever use the toll road again, let it go broke. We the people can control the price of everything, from groceries to gas, if we would just do it. If we don't pay the asking price, the sellers will lower the price and if we wait awhile, they will lower the price to what we accept as reasonable. I would like to know why a highway like interstate 94, is so well maintained, a much better highway, than the toll road, but has no tolls. I would also like to know why, a sitting governor, with a term limit, maximum of eight years, can lease, public property, for 75 years. Even though I have transponders in both of my trucks and will not be affected by the increase, I have been and will contine to avoid using the toll road. I make many trips from northern Indiana to Chicago, every year, and I prefer the better highway, I94!