Melanie Waddell

Melanie is senior editor and Washington bureau chief of ThinkAdvisor. Her ThinkAdvisor coverage zeros in on how politics, policy, legislation and regulations affect the investment advisory space. Melanie’s coverage has been cited in various lawmakers’ reports, letters and bills, and in the Labor Department’s fiduciary rule in 2024. In 2019, Melanie received an Honorable Mention, Range of Work by a Single Author award from @Folio. Melanie joined Investment Advisor magazine as New York bureau chief in 2000. She has been a columnist since 2002. She started her career in Washington in 1994, covering financial issues at American Banker. Since 1997, Melanie has been covering investment-related issues, holding senior editorial positions at American Banker publications in both Washington and New York. Briefly, she was content chief for Internet Capital Group’s EFinancialWorld in New York and wrote freelance articles for Institutional Investor. Melanie holds a bachelor’s degree in English from Towson University. She interned at The Baltimore Sun and its suburban edition.

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March 05, 2019 | ThinkAdvisor

FINRA Fines Cantor Fitzgerald $2M Over Reg SHO Violations

"Firms' compliance with Regulation SHO is a continued focus for FINRA," said enforcement chief Susan Schroeder.

By Melanie Waddell

3 minute read

March 04, 2019 | ThinkAdvisor

FINRA's Top Fine Categories in 2018

It appears FINRA is "coming down harder" when it decides to bring a case, a lawyer says.

By Melanie Waddell

3 minute read

February 26, 2019 | ThinkAdvisor

Retirement Crisis Is Real, Poll Shows, With Millennials Most Concerned

New research by NIRS and Greenwald & Associates found millennials are willing to save the most.

By Melanie Waddell

3 minute read

February 12, 2019 | ThinkAdvisor

IRS Enters Tax Season 'Inundated,' Says Taxpayer Advocate

The IRS was already struggling with a heavy workload and aging technology. Then the shutdown hit.

By Melanie Waddell

4 minute read

December 18, 2018 | ThinkAdvisor

Arizona BD Sues FINRA for 'Choking' Microcap Markets

FINRA wants to levy a $1.5 million fine against the firm in a microcap-related case.

By Melanie Waddell

3 minute read

November 02, 2018 | ThinkAdvisor

SEC Brought More Advisor, BD Enforcement Actions in 2018

The Securities and Exchange Commission brought 821 enforcement actions in fiscal 2018.

By Melanie Waddell

3 minute read

October 31, 2018 | ThinkAdvisor

SEC Proposes Long-Awaited Variable Annuity Summary Prospectus

The plan would allow these contracts to use a summary prospectus to provide disclosures to investors.

By Melanie Waddell

3 minute read

October 12, 2018 | ThinkAdvisor

State Enforcement Actions Spark Jump in Jail Time

State securities regulators brought enforcement actions last year resulting in 1,985 years of prison time and probation, a 47% increase over the prior year.

By Melanie Waddell

3 minute read