As head of the large institutional money manager, she succeeded in the orderly world of index funds, which aim to control risk and take the guesswork out of investing.
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.