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Dallas Financial Advisors Shot in Their Office
March 9, 2010“You’ve taken all my money,” gunman said
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Fired Execs Grubb and Allen Network at BISA
March 8, 2010Two bank brokerage executives have lost their jobs, according to rumors at the Bank Insurance and Securities Association conference.
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UBS Pays Hefty Settlement for Auction Rate Securities
March 4, 2010UBS will have to purchase up to $200 million in auction rate securities from investors who were not covered in UBS’ initial agreement with state and federal regulators.
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Financial Services Panels Shut Down
February 10, 2010The House Financial Services Committee canceled all hearings scheduled this week due to heavy snow.
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Thain Back in the Game at CIT Group
February 8, 2010Before his troubled last days at Merrill Lynch, Thain was a well respected executive in financial services. But it’s his time at Merrill that have been seared into the public memory.
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Envestnet Hires Former Merrill Executive
January 29, 2010The Chicago company described the appointment as a “coup.”
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Hancock Names Boyle President
January 26, 2010He will run all phases of the company’s businesses, including life insurance, long-term care insurance, variable annuities, 401(k) plans, fixed products and mutual funds, the John Hancock financial network and investment management services.
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UBS Shuffles FICC Ranks, Makes New Hires
January 26, 2010Misra and Psyllidis will become joint global heads of FICC at UBS
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After Multiple Delays, McWhorter Set to Leave Securities America
January 22, 2010The company's chairman and chief executive officer announced his retirement from the company Wednesday. He plans to step down in the spring.
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People on the Move
January 22, 2010New executives at Barclays Wealth, Boston Company Asset Management, Brown Brothers Harriman, and more.
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Jefferies Hires Head of Global FI Strategy
January 22, 2010Firm hires Fed veteran for newly created position
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McWhorter Announces Retirement from Securities America
January 21, 2010The company's chairman and chief executive officer plans to step down in the spring.
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Supreme Court Won’t Review Lawsuit Against Fidelity, Deere
January 21, 2010The Supreme Court decided not to review a 401(k) fee lawsuit against Deere and Fidelity that was dismissed by a U.S. District Court in 2007, and again rebuffed a U.S. Court of Appeals a year ago.
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RBC Lures $4 Million Smith Barney Team
January 19, 2010RBC Wealth Management has hired John Menefee and Tom Meagher from Morgan Stanley Smith Barney to join its Bend, Oregon branch.
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