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14 Feb 2024, 6:32 am
Posted by Mark Lundvall and Ryan O’Toole, Fidelity Investments, on Wednesday, February 14, 2024 Editor's Note: Mark Lundvall is Head of Investment Proxy Research, and Ryan O’Toole is Director of Corporate Governance at Fidelity Investments. [read post]
14 Feb 2024, 6:32 am
Posted by Mark Lundvall and Ryan O’Toole, Fidelity Investments, on Wednesday, February 14, 2024 Editor's Note: Mark Lundvall is Head of Investment Proxy Research, and Ryan O’Toole is Director of Corporate Governance at Fidelity Investments. [read post]
24 Jun 2007, 8:40 pm
Brookstreet Securities Corp. has liquidated securities following margin calls by National Fidelity Securities (NFS), a division of Fidelity Investments. [read post]
8 Apr 2009, 6:39 pm
Related Web Resources: Ex-Fidelity reps claim sales pressure, Investment News, April 5, 2009 Certified Financial Planner Board of Standards Inc. [read post]
2 Feb 2015, 6:16 am
Fidelity’s misconduct ultimately caused the client to be forced out of a portion of his LAKE position causing investment losses. [read post]
29 Jan 2020, 12:15 pm
Many firms, such as TD Ameritrade, Charles Schwab and Fidelity, whose business model includes or is tailored primarily to investors who want the benefits of a self-directed account also offer to introduce investors who wish independent investment advice to professional investment advisors who are technically “unaffiliated” with the firm. [read post]
27 Nov 2008, 6:12 am
An intermediary holds the proceeds from the sale of an investment property until those funds are deployed to purchase a replacement investment). [read post]
7 Aug 2017, 9:30 am
If you have questions about investments you made with Fidelity Brokerage Services LLC the securities attorneys of The White Law Group may be able to help you. [read post]
8 Apr 2009, 6:00 pm
Companies that set up mutual funds -- outfits like Fidelity, Vanguard, and Oppenheimer -- also "advise" the funds on their investments. [read post]
21 Jan 2005, 10:15 am
[JURIST] Leading Friday's corporations and securities law news, Fidelity Investments [financial website] announced two more traders have left the firm over the government's investigation into employees who inappropriately solicited and received expensive gifts and entertainment from brokers who wanted the company's business. [read post]
10 May 2011, 11:43 am
Honolulu attorney Jay Fidell (who also produces Think Tech Hawaii) writes a regular column in the Honolulu Star-Advertiser. [read post]
31 Dec 2020, 7:08 am
” (Fidelity Investments, Comment Letter). [read post]
29 May 2008, 6:51 am
But the law does not specifically extend to privately held firms such as Fidelity that invest in public companies.Lawsuits may expand Sarbanes-Oxley [read post]
25 Mar 2022, 12:16 pm
FINRA Referral Letter Cited In Federal Insider Trading Appeal (BrokeAndBroker.com Blog)SEC Holds Fidelity Transfer Services In Default and Orders Cease-and-Desist (No -- not "that" Fidelity but apparently another Fidelity)In the Matter of Fidelity Transfer Services, Inc. and Ruben Sanchez (SEC Opinion)Former Comptroller And Compliance Specialist At Investment Adviser Firm Pleads Guilty To Conspiring To Defraud Clients (DOJ Release)Brooklyn Man… [read post]
26 Aug 2008, 2:53 pm
Another issue for regulators pursuing discount brokerage houses will be that such firms generally do not provide direct investment recommendations to their clients, making less likely the type of alleged liquidity representations that have been the focus of prior ARS inquiries. [read post]
27 Jan 2016, 12:08 pm
Are you confused about investment options? [read post]
6 Feb 2008, 2:32 pm
Brokerage firms include Stifel, Nicolaus & Company, Silver Leaf Partners, UBS Investment Bank, Wunderlich Securities, RBC Dain Rauscher, Piper Jaffray, Paulson Investment Company, and Fidelity Capital Markets. [read post]
16 Jan 2014, 7:10 am
America's emerging millionaires are well positioned for asset growth but are also in need of more financial planning, according to research released Wednesday by Fidelity Investments.The study from Fidelity's Insights on Advice series shows that 77% of those averaging $800,000 in total assets and an average household income of $150,000 do not have a written financial plan with 70% reporting they are "not very knowledgeable" about investing. [read post]
17 Dec 2019, 6:41 am
In the normal investment advisor-client relationship which uses Fidelity as the broker/dealer, that investment advisor has his own log in credentials and uses the Fidelity RIA platform to run his business. [read post]
6 Aug 2009, 1:43 pm
Fidelity Investment has joined Charles Schwab and Morgan Stanley Smith Barney in warning customers about the complexity and risks of Leveraged Exchange Traded Funds (ETFs), reported Daisy Maxey in her article, "Fidelity the Latest to Caution on ETFs," published in the August 4 Wall Street Journal. [read post]
