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Trends & Takeaways
September 1, 2010 -
Trends & Takeaways
July 1, 2010 -
Fools' Gold: Six Charged in $300 Million Ponzi Scheme
June 14, 2010More than 3,000 unwitting Canadians were fleeced of their retirement investments by four Canadians and two Florida men. The SEC's Denver office brought them in.
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Trends & Takeaways
June 1, 2010 -
Supreme Court Nominee Kagan Weighed in Against Higher Fees
May 12, 2010Elena Kagan urged the high court to reject an endorsement of the Gartenberg standard.
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Trends & Takeaways
April 30, 2010 -
Trends & Takeaways
April 1, 2010 -
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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