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Lincoln Financial Advisors had abruptly terminated Jeffrey Concepcion in August 2008, according to the arbitration filing, and then withheld severance after he refused to agree to a non-competition agreement.
April 13 -
On the heels of major organizational changes, Northern Trust promotes two more executives in its wealth management business.
April 13 -
On April 13, Touchstone revealed its growth plans to MME.
April 13 -
On Aprill 11, a pair of academics from the Lubin School of Business at Pace University released their findings on corporate culture as it relates to funds' performances.
April 13 -
BlackRock, the worlds largest money manager, is planning to become an exchange operator.
April 13 -
Nine mutual fund providers can expect to see not only positive, but stronger-than-average investment momentum from investors in 2012, according to findings in the 2012 Investor Brandscape, an annual report released earlier this month by Cogent Research.
April 13 -
Goldman Sachs has agreed to pay a $22 million fine and accept other penalties to resolve charges from the SEC that the firm lacked adequate policies and procedures to address the risk that during weekly meetings, known as huddles, its analysts could share important non-public information about upcoming research changes.
April 13 -
On April 12, Cogent named nine fund firms that were most likely to gain business from affluent investors.
April 13 -
On April 11, the ICI said investors yanked $4.7 billion from stock mutual funds.
April 13 -
The financial services provider looks to grow its wealth management division by adding four advisory groups and a new senior vice president.
April 13
