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30 May 2019, 12:06 pm
Wes has moved the Commission forward in many ways, and I cannot thank him enough for his service. [read post]
13 Jul 2015, 6:25 am
Thereafter, from January 2012 until July 2013, Montgomery was associated Fortune Financial Services, Inc. [read post]
24 Mar 2018, 1:00 am
They put this law in place and it drove the financial services industry crazy. [read post]
5 Apr 2022, 11:44 am
You could be charged with identity theft if you intentionally or accidentally use someone else’s: name social security number credit card or other financial information to obtain: loans tax refunds credit cards confidential records or make purchases Using the information to obtain healthcare services or medications could lead to charges. [read post]
28 Jun 2018, 11:59 am
Variable annuities are high sales commission products for financial advisors and sometimes advisors push these products on persons who do not need them or cannot benefit from them. [read post]
Broker Ken Kavanagh Of Morgan Stanley Suspended, Fined For Not Disclosing Business Managing Athletes
6 Jan 2020, 8:30 am
Ken Kavanagh (CRD#: 4502223) is a suspended broker who formerly worked for Morgan Stanley (CRD#: 149777) in New York City, Citigroup Global Markets (CRD#: 7059), and UBS Financial Services (CRD#: 8174). [read post]
4 Apr 2018, 7:38 am
KDV now has more than 20 attorneys nationwide providing D&O-related legal services. [read post]
27 Aug 2019, 6:38 am
As a result, in addition to working with your financial advisor, it is also important to work with an attorney who can help you assess the legal risks involved and, potentially, negotiate more-favorable terms into your franchise agreement. [read post]
26 Jun 2019, 11:05 am
Wood spent 10 years on Capitol Hill, most recently as Senior Advisor and Counsel at the House Financial Services Committee. [read post]
26 Mar 2018, 12:13 pm
Many professional service businesses (such as doctors, lawyers, accountants, and financial advisors) are excluded from receiving the deduction unless the business owner(s) earns less than specific threshold amounts ($157,500 for a single taxpayer, and $315,000 for a joint return). [read post]
11 Apr 2011, 1:00 pm
FINRA fined UBS Financial Services, Inc. $2.5 million, and required it to pay $8.25 million in restitution for omissions and misleading statements made regarding the "principal protection" feature of Lehman Brothers100% Principal-Protection Notes (PPNs). [read post]
11 Apr 2011, 1:00 pm
FINRA fined UBS Financial Services, Inc. $2.5 million, and required it to pay $8.25 million in restitution for omissions and misleading statements made regarding the "principal protection" feature of Lehman Brothers100% Principal-Protection Notes (PPNs). [read post]
2 Nov 2012, 11:52 am
In 1999, after a decade of increasing financial industry deregulation as the result of bank lobbying efforts, this “wall” was torn down by the Financial Services Modernization Act, or as it is frequently called the Gramm-Leach-Bliley Act. [read post]
21 Nov 2019, 8:09 am
Last week, the New York Department of Financial Services (“NYDFS”) announced a proposed new regulation that provides greater flexibility for entities licensed, chartered, authorized, registered, or supervised by the NYDFS to disclose confidential supervisory information (“CSI”) to legal counsel and independent auditors. [read post]
23 Feb 2024, 12:01 am
Unfortunately for investors it appears that many financial advisors/brokerage firms that sold non-traded REITs such as Hines Global Income Trust, may have understated or misrepresented the risks and liquidity problems. [read post]
2 Jun 2015, 10:34 am
Although the Bulletin is directed to consumers, the guidance provides you with an opportunity to better service your clients. [read post]
2 Aug 2018, 12:55 pm
From April 2008 to May 2017, Stucker was registered with UBS Financial Services Inc. [read post]
10 Apr 2023, 8:26 am
(CRD#:10641), Chattanooga, TN, B, 06/29/2012 – 03/13/2020, RAYMOND JAMES FINANCIAL SERVICES, INC. [read post]
1 Jun 2012, 12:24 pm
Alerian Hall’s financial expertise (she was previously a financial advisor) enables her to provide a truly comprehensive and tailored estate plans for her clients. [read post]
3 Aug 2020, 4:00 am
Despite your UBS Financial Services, Inc. [read post]
