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By Marlene Y. Satter, AdvisorOne |
April 26, 2012
This week in new hires, Christine Gaze joined TD Ameritrade Institutional, Robert Bernstein went to Windham Capital and Raymond James confirmed the appointment of John Carson as president of its board.
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By James J. Green, AdvisorOne |
April 12, 2012
The firm settled over failure to supervise research analysts who met with traders and clients, and to monitor possible subsequent firm and client trading, said FINRA's head of enforcement, Brad Bennett.