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6 Mar 2021, 8:53 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Bruce Ciallella (Ciallella), currently employed by Cabot Lodge Securities LLC (Cabot Lodge) has been subject to at least seven customer complaints during the course of his career. [read post]
5 Mar 2021, 11:37 am
Reed was a financial advisor with Packerland Brokerage Services, Inc. [read post]
5 Mar 2021, 7:08 am
In addition, we also align our services with a client’s strategic business objectives. [read post]
5 Mar 2021, 3:03 am
ESG Reporting: Roadmap for Attestation Services A few weeks ago, I blogged about how investors want to see companies enhance ESG reporting. [read post]
4 Mar 2021, 9:03 pm
Cecily Myart-Cruz, president of United Teachers of Los Angeles, called the plan “a recipe for propagating structural racism,” as it financially rewards schools who can more easily reopen given lower infection rates—typically white and wealthier schools. [read post]
4 Mar 2021, 7:11 am
“He later used this money to pay his family’s personal expenses, all the while deceiving both his victims and the financial services firm for whom he worked,” prosecutors stated. [read post]
3 Mar 2021, 5:32 pm
A former lead advisor to the Government of Bolivia on its pension project, Ms. [read post]
3 Mar 2021, 9:18 am
His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. [read post]
3 Mar 2021, 2:00 am
The post How HR Can Make Staff Redundancies with Tact and Diplomacy appeared first on HR Daily Advisor. [read post]
2 Mar 2021, 7:57 am
A former lead advisor to the Government of Bolivia on its pension project, Ms. [read post]
1 Mar 2021, 8:45 am
McMaster, the former national security advisor. [read post]
1 Mar 2021, 3:03 am
Separately, last week WilmerHale announced that Stephanie Avakian, former Co-Director of the SEC’s Enforcement Division, is returning to the firm later in the year as Chair of its Securities and Financial Services Department and as a member of the firm’s Management Committee. [read post]
1 Mar 2021, 2:00 am
The post Move Over Recruiting, Workplace Safety Is Now the #1 Priority appeared first on HR Daily Advisor. [read post]
26 Feb 2021, 6:00 am
Securities and Exchange Commission, on Wednesday, February 24, 2021 Tags: Capital formation, Cryptocurrency, Financial technology, GameStop, Investor protection, Robinhood, Securities enforcement, Securities regulation, Short sales More than 1,200 Empirical Studies Apply the Entrenchment Index of Bebchuk, Cohen and Ferrell (2009) Posted by Leeor Ofer (Harvard Law School), on Wednesday, February 24, 2021 Tags: Boards of… [read post]
25 Feb 2021, 9:00 am
Henry, TJN’s Senior Advisor and investigative economist and lawyer, in making points similar to the above-mentioned ones, sharply rebuked the arguments opposing the STT. [read post]
23 Feb 2021, 9:00 am
The service is free for customers with VoIP service. [read post]
22 Feb 2021, 11:00 am
Thursday, February 25, 2021, at 10:00 a.m.: The House Financial Services Subcommittee on National Security, International Development and Monetary Policy will hold a hearing on domestic terrorist financing in the aftermath of the insurrection. [read post]
22 Feb 2021, 8:38 am
Please consult with your Financial Advisor to understand these differences. [read post]
19 Feb 2021, 1:06 pm
FINRA Reportedly Bars Broker Scott Reed after Allegations of Selling Away According to the Financial Industry Regulatory Authority (FINRA) today, the regulator has barred financial advisor Scott Wayne Reed (CRD #3007033) from the securities industry after he reportedly failed to provide information in FINRA’s investigation into circumstances of his termination from his member firm. [read post]
19 Feb 2021, 12:44 pm
Reed was a financial advisor with Wells Fargo Clearing Services (“Wells Fargo”) in Scottsdale, Arizona, from April 2016 until April 2020. [read post]
