Mitchel Guttenberg, 41, an institutional client manager at UBS Securities, was charged with passing material--nonpublic information--to traders Erik Franklin, 39, formerly of Bear Stearns, and David Tavdy, 38, formerly of Assent, a New York broker-dealer.
As for that UBS tipping case, 12 of the defendants have settled or pleaded guilty, including Mitchel Guttenberg, the former institutional client manager of UBS's research department who was accused of selling upcoming downgrade tips to hedge fund clients in a scheme hatched with a friend at New York's Oyster Bar.
In the corporate world, these jobs go by titles like account manager and client-services manager.
Gerry Prickett, the client project manager for the works, said media scrutiny had ensured the smooth running of the scheme.
BBC: Guernsey Airport 'fit for new operators', says director
If all a wealth manager does is keep longevity and inflation risk in check for a client, the manager is covering important bases.
So I tuned in yesterday to an Intel Webinar with David Buchholz, director of consumerization and John Mahvi, business client product line manager at the company as they discussed the new hardware.
Berent even had one client, a female manager who had survived ovarian cancer, say she would rather go back to chemotherapy than speak in front of a group.
"With today's announcements, it's clear SanDisk is going all out in its commitment to delivering industry-leading SSD technology to our customers, " said Kevin Conley, senior vice president and general manager, client storage solutions.
ENGADGET: SanDisk releases Ultra Plus and X110 SSDs with speed on a budget
As adviser to its own proprietary mutual funds and manager of individual client accounts, AFAM may purchase, sell or hold positions in the securities that appear in this presentation.
FORBES: The Prudent Speculator's 2013 Market Outlook and Favorite Stocks
As advisor to its own proprietary mutual funds and manager of individual client accounts, AFAM may purchase, sell or hold positions in the securities that appear in this presentation.
"Lenovo was one of the first to embrace convertible design coupled with touch interaction in a big way and the Yoga 13 and ThinkPad Twist are both remarkable devices that are sure to wow consumers, " said Kirk Skaugen, corporate vice president and general manager, PC Client Group, Intel.
Rick Echevarria, vice president of the Intel architecture group and general manager of its business client platform division, sounded like he had heard this question before.
FORBES: Intel Ultrabooks and Windows 8 Are Ready For Business
The general rule under the federal and state securities laws is that a fiduciary, the money manager, cannot use client assets for his own benefit or the benefit of other clients.
FORBES: Pensions and Brokerage: The Brokerage Battlefield Revisited (October 1, 2000)
Clients can bypass the big names and hire consultancies such as Eden McCallum, a British firm that packages teams of experienced independent consultants, or Point B, an American firm that provides only a project manager, letting the client select the team.
We made some adjustments to her marketing and networking, and a few weeks later, she got an offer to be the main relationship manager for a financial services client of a digital strategy firm.
FORBES: Do You Push Away Success When It Seems To Come Too Quickly?
There's a shortage of senior accountants right now, and the recession has actually provided a chance for them to revive client relationships, believes Mark Koziel, senior manager of firm practice management at the American Institute of Certified Public Accountants.
"As one of the most widely used business PCs in the world, Dell Latitude brand laptops need to support a broad range of technology so our customers can connect virtually anywhere and at any time, and Qualcomm's Gobi platform helps us achieve this, " said Kirk Schell, executive director and general manager of Dell's Business Client Product Group.
ENGADGET: Qualcomm's fifth gen Gobi unveiled, supports a Lollapalooza of LTE, 2G / 3G bands
"The cutting edge of wealth-transfer planning is mostly being done for entrepreneurs, " says Stephen Kenney, director of client strategies for Pell Rudman, a private wealth manager in Boston.
So, if the fraud were undetectable, is the manager free of liability for the loss of client funds?
FORBES: Money Manager Use of Tainted Wall Street Research (Oct 1, 2002 )
The lawyer of disgraced money manager Bernie Madoff told a judge that his client should receive 12 years in prison, calling it a sufficient punishment for one of the largest frauds in U.S. history.
Disclosure: Mr. Wisdom is co-manager of two public mutual funds and approximately 700 individual client accounts.
When performance is good, funds are reluctant to terminate a manager that has been problematic in other areas such as client servicing.
FORBES: Time��s Running Out For America��s Pensions (May 1, 2003 )
Privacy, according to general manager Jessica Davis, is the biggest benefit for the client, while for the hotel, the buyout ensures occupancy is at 100%.
Two years before its 2003 launch (as the iTunes Music Store), Apple introduced the iTunes client as a desktop music management program and implemented it as the device manager for the first iPod later in 2001.
His manager, Aaron Klee, said it was not known when his client would be discharged from hospital.
If you're a manager, you know how important it is to make sure the client is always pleased with the service or product you're selling.
The greater the commission rate the pension client approves, the more the broker gets paid and the more money the manager has to spread around to accomplish his multiple objectives.
FORBES: Pensions and Brokerage: The Brokerage Battlefield Revisited (October 1, 2000)
Connolly's manager of some 24 years, Steven Brown, still struggles to comprehend his client's enduring appeal.
Once the matter has become the subject of a confidentiality agreement, the money manager will usually withhold it from regulators and law enforcement pursuant to the attorney-client privilege.
By opposing disclosure of the risks to investors personal trading by portfolio managers poses, as well as disclosure of portfolio manager personal trading records and, when all else fails, invoking the attorney-client privilege to prevent investors from learning of illegal personal trading, the mutual fund industry has been able to maintain the illusion that such trading is rare and investors are not being harmed.
FORBES: Letter to Editor of BusinessWeek Re: Mutual Fund Personal Trading ( July 1, 1998)
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