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SEC denies Freedom of Information request by RIABiz related to Virtus funds as Ameriprise and TD Ameritrade become latest biggies to cut ties

The regulator's non-response isn't proof of an investigation but big broker-dealers continue to see smoke as fire -- and Virtus's own SEC docs seem to warn of potential trouble brewing

Author Sanders Wommack March 30, 2015 at 5:19 PM
Admin:
no description available
Jonathan Haray: The real question is if the evidence will stem to Virtus from F-Squared, and in some sense the investigators are starting from scratch.

DAT

DAT

March 31, 2015 — 8:46 PM

Wow. The majority of us don’t understand that there is a treasure of information hidden in those disclosures.


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Schwab 2,000-layoff aftershocks roil the industry as it's revealed top tech talent -- led by widely regarded veteran Kartik Srinivasan -- were axed, raising questions about future of Schwab innovation

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Mentioned in this article:

TD Ameritrade
Asset Custodian
Top Executive: Tom Nally



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