Search for: "American Accounts & Advisors"
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2 Aug 2022, 4:50 pm
If you wish to continue making IRA contributions while living overseas but still have questions, it’s best to reach out to a trusted US expat tax advisor. [read post]
19 Dec 2019, 3:53 am
Retain a trusted accountant, banker, or financial advisor who can tailor your individual financial needs into an easy to follow set of steps and apply them. [read post]
15 Jun 2010, 11:48 am
I also believe that the mere enactment of FATCA should prompt preparers and advisors to expand their due diligence regarding offshore account issues, including, but not limited to income tax reporting. [read post]
16 Dec 2021, 10:30 am
Brokerage firms that do not perform adequate due diligence on an investment and/or make unsuitable recommendations can be held accountable for investmen [read post]
3 Nov 2017, 2:00 am
" Last month, American Oversight revealed in September that Trump, who serves as an official advisor to the president, was using a non-government e-mail account. [read post]
30 Jan 2011, 2:35 pm
*note: if a fund manager also has separately managed accounts, the manager will need to be SEC registered unless the manager has less than $100 million in AUM. [read post]
17 May 2019, 7:45 am
On or about 10/14/2016, Witt was “permitted to resign” by Voya Financial Advisors, after allegations that he conducted transactions without the consent of the account holder. [read post]
6 May 2013, 8:52 am
Have you suffered losses as a result of investing with former Ameriprise financial advisor, Jennifer Guelinas? [read post]
3 Aug 2020, 1:36 pm
Scott Silver, Silver Law Group’s managing partner, is the chairman of the Securities and Financial Fraud Group of the American Association of Justice. [read post]
28 May 2019, 9:13 am
(Calton) and American Global Wealth Management, Inc. [read post]
1 Mar 2012, 7:48 pm
” Email Sumeet Chugani Excerpted from InterAmerican Dialogue’s Latin Finance Advisor-Financial Services, February 16-19, 2012 Edition. [read post]
14 Dec 2011, 10:14 am
Wrongful trading activity in the accounts of the everyday American investor can include account churning, private placement fraud, breach of fiduciary duty, annuities fraud, stock manipulation, unauthorized trading, and embezzlement. [read post]
14 Dec 2011, 10:14 am
Wrongful trading activity in the accounts of the everyday American investor can include account churning, private placement fraud, breach of fiduciary duty, annuities fraud, stock manipulation, unauthorized trading, and embezzlement. [read post]
17 Jul 2010, 1:06 am
In the dispute, the IRS filed a lawsuit against UBS after the bank was found to have assisted wealthy American taxpayers in evading taxes by setting up accounts with it between 2000 and 2007. [read post]
11 Mar 2020, 10:46 am
Financial advisors are required to make suitable investment recommendations, accounting for your age, income, net worth, investment experience, and investment objectives. [read post]
18 Mar 2014, 6:01 am
The Financial Industry Regulatory Authority (FINRA) has brought a complaint against financial advisor Brian H. [read post]
21 Jan 2021, 7:12 am
Edwards & Co., Royal Alliance Associates, Inc., Securities America Advisors, Inc, Summit Financial Group, Inc., and American Portfolios Financial Services. [read post]
28 May 2021, 8:56 am
Framework for Chief Compliance Officer Liability in the Financial Sector (Report by the New York City Bar Association/Compliance Committee, Association for Corporate Growth, American Investment Council, and SIFMA)Now You See It, Now You Don't -- FINRA Rule 2010 Applied by OHO But Rejected by NAC (BrokeAndBroker.com Blog)Former Financial Advisor Sentenced To Five Years In Prison For Fraud (DOJ Release)SEC Charges Ohio and Pennsylvania Residents with Offering Fraud and… [read post]
9 Jul 2019, 6:18 pm
To talk about that very issue, Margaret Taylor sat down with Austin Evers, the executive director of American Oversight, a non-profit government accountability watchdog; and Michael Stern, who served for many years as the Senior Counsel to the U.S. [read post]
8 Apr 2016, 1:59 pm
This week, it has been reported that the Department of Labor proposed tougher laws after issuing new regulations requiring financial advisors and brokers managing 401k and retirement accounts to act in the best interest of their clients. [read post]
