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The following financial services industry appointments were announced on Wednesday. To inform us of other job changes, email firstname.lastname@example.org. KKR & CO LP The private equity firm has appointed ...
Stifel Financial Corp said on Wednesday three financial advisers joined the private client group of its broker-dealer subsidiary, Stifel, Nicolaus & Co Inc. Patricia Tippins joined the firm's Dallas office ...
Two traders who ran Nomura Holdings Inc's commercial mortgage-backed securities desk were charged on Monday by the U.S. Securities and Exchange Commission with lying to customers about bond prices, to boost profit and their own bonuses. The SEC said James Im and Kee Chan fraudulently generated more than $750,000 of profit beginning in 2010 by having on numerous occasions "deliberately misled and lied to customers" whose trades they handled. The SEC said Im, 40, of Tarrytown, New York, has not settled its civil case, and invoked his constitutional right against self-incrimination when subpoenaed for documents and testimony.