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CFTC fines Maryland investment firm in fraud case linked to CEO's...
www.reuters.com
The U.S. Commodity Futures Trading Commission ordered a Washington area wealth management firm to pay $800,000 on Monday in a fraud case involving the firm's...
Convergent, rocked by suicide of CEO, announces replacement
www.investmentnews.com
A little over two months after the suicide of its CEO, $8.4 billion RIA Convergent appoints chief operating officer Douglas Wolford as a replacement.
Insurance policy raises questions in Convergent suicide
www.investmentnews.com
Former Convergent CEO David Zier took out a life insurance policy that later reimbursed investors in his outside fund, sources say.
7 Advisors Bolt Convergent | Financial Planning
www.financial-planning.com
'It's mayhem' at firm, an ex-advisor says, following CEO David Zier's suicide.
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