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17 May 2024, 11:26 am
The Financial Industry Regulatory Authority (FINRA) recently barred a financial advisor from Alexandria, Virginia who had been registered with Wells Fargo Clearing Services LLC. [read post]
17 May 2024, 6:30 am
Larcker and Brian Tayan (Stanford University), on Monday, May 13, 2024 Tags: CEOs, ESG, Proxy advisors, SEC The CEO Pay Problem Is Solvable with A.I. [read post]
17 May 2024, 6:30 am
Larcker and Brian Tayan (Stanford University), on Monday, May 13, 2024 Tags: CEOs, ESG, Proxy advisors, SEC The CEO Pay Problem Is Solvable with A.I. [read post]
16 May 2024, 9:05 pm
Supreme Court ruled that the Consumer Financial Protection Bureau’s (CFPB) funding mechanism does not violate the U.S. [read post]
16 May 2024, 3:10 am
The post <strong>5 Tips to Help Your Employees Care for their Mental Health</strong> appeared first on HR Daily Advisor. [read post]
15 May 2024, 2:42 pm
The threshold for reporting can vary, so consult a tax advisor if you’re unsure about your reporting obligations. [read post]
13 May 2024, 6:41 am
It found that language stating that the second advisor “may provide” services to Nordic and its co-investors was misleading given that the advisor was in fact providing such services, creating a concurrent conflict. [read post]
13 May 2024, 5:30 am
Take, for example, the New York State Department of Financial Services’ inaugural cybersecurity enforcement action. [read post]
11 May 2024, 7:09 am
Consider consulting with a bankruptcy attorney or financial advisor to obtain a comprehensive understanding of your financial condition. [read post]
10 May 2024, 1:33 am
That application of the Duffield test to the organ is not the end of the matter because I cannot and should not ignore the fact that the instrument stands in its own right as a church treasure of considerable value both historically and musically (not to mention financially). [read post]
9 May 2024, 3:08 pm
Global Predictions represented to the public that it was the “first regulated AI financial advisor” and that it actively utilized AI capabilities in the services offered to investors. [read post]
8 May 2024, 7:20 pm
., (CRD#: 249/SEC#: 801-887,8-4077) headquartered in New York, New York, is a national financial advisory firm. [read post]
8 May 2024, 5:13 pm
Stamer’s work throughout her career has focused heavily on working with health care and managed care, life sciences, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with legal and operational compliance and risk management, performance and workforce management, regulatory and public policy… [read post]
8 May 2024, 2:26 pm
Fiduciaries and their advisors who fail to implement the SECURE Act provisions risk being targeted by government actors and private litigants. [read post]
7 May 2024, 7:35 am
As of now, the firms under the Osaic umbrella include: Lincoln Financial Advisors CorporationLincoln Financial Securities Corporation Previously known as the Advisor Group, this network of independent broker-dealers comprises several firms: American Portfolios Financial Services Inc.FSC Securities CorporationInfinex Investments (now known as Osaic Institutions)Royal Alliance AssociatesSagePoint FinancialSecurities AmericaTriad AdvisorsWoodbury… [read post]
6 May 2024, 7:14 pm
Varghese Summersett’s receipt of this award underscores their dedication to ensuring justice is accessible to all, regardless of financial means. [read post]
6 May 2024, 7:14 pm
Varghese Summersett’s receipt of this award underscores their dedication to ensuring justice is accessible to all, regardless of financial means. [read post]
6 May 2024, 7:14 pm
Varghese Summersett’s receipt of this award underscores their dedication to ensuring justice is accessible to all, regardless of financial means. [read post]
6 May 2024, 7:03 pm
Ex-Suntrust Advisor Eddy Blizzard Sentenced to Prison Eddy Ray Blizzard, a Maryland financial advisor, was reportedly sentenced to 42 months in federal prison for stealing approximately $1 million from an elderly client. [read post]
6 May 2024, 11:52 am
FINRA Bars Northwestern Mutual Broker Michael Gravelyn after Allegations According to public records, FINRA, the self-regulator, has reportedly barred financial advisor Michael Gravelyn (CRD # 6569005) from working in the securities industry. [read post]
