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On May 31, 2012, Robert B. Kaplan, former co-chief of the Asset Management Unit of the U.S. Securities and Exchange Commissions Division of Enforcement, joined Debevoise & Plimpton LLP as a litigation partner resident in the firms Washington, D.C. office.
May 31 -
On May 31, 2012, Morningstar, Inc. named Thomas Idzorek, chief investment officer of Morningstar Investment Management, to president of Morningstars global Investment Management division.
May 31 -
On May 30, 2012, Teucrium Trading, LLC named Steve Kahler, who joined the firm in November 2011, as its chief operating officer.
May 30 -
The New York-based company hired Austin J. Philbin as a senior consultant of RIA services and Monique Miller as director of business management.
May 30 -
Principals of RIA firms need to pay closer attention to workflow and operational issues at their firms, especially if they want to stay viable amid rising operational costs, Pershing Advisor Solutions said.
May 30 -
The newly combined Boston-based RIA will have $2.5 billion of client assets.
May 30 -
Financial behemoth names new heads for Citigold Wealth Management and Citi Personal Wealth Management units.
May 30 -
Wells Fargo Advisors promoted John Peluso to president of First Clearing Correspondent Services, a registered broker-dealer and a non-bank affiliate of Wells Fargo & Co.
May 30 -
Linscomb & Williams, which has $2.7 billion in assets under management, hired Abigail C. Gunderson, Ryan L. Patterson and Lauren J. Bain.
May 29 -
Keith Hartstein, president and CEO of John Hancock Funds, will be retiring in September 2012 after 22 years at the firm.
May 29
