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9 Aug 2014, 6:41 am
The law offices of Gana LLP has recently filed securities arbitration case on behalf of an investor against UBS Financial Services, Inc. and UBS Financial Services, Inc. of Puerto Rico (UBS) involving allegations that UBS’ misleading sales tactics and inappropriate recommendations surrounding Puerto Rico bonds in the Claimant’s portfolio. [read post]
31 Jul 2013, 5:10 pm
New litigation against the former trustee and former investment service provider of four pension plans reminds employer or other employee benefit plan sponsors, business owners or management, investment advisors and others serving as fiduciaries or advisors of employee benefit plans of the need to ensure that employee benefit plans are only used for the benefit of participants and beneficiaries, and prudently and properly invested and administered. [read post]
31 Aug 2015, 9:17 am
Just like our group legal plans, the Financial Wellness program is centered on giving service as soon as possible. [read post]
27 Jul 2020, 7:08 pm
Jody Pullium Allstate Financial Services, LLC PNC Investments Ana Rivera Wells Fargo Clearing Services, LLC Wells Fargo Advisors, LLC George Schmidt, Jr. [read post]
21 Aug 2023, 6:30 am
In July 2023, Republican members of the House Committee on Financial Services (the “Committee”) sponsored a series of hearings on ESG. [read post]
21 Aug 2023, 6:30 am
In July 2023, Republican members of the House Committee on Financial Services (the “Committee”) sponsored a series of hearings on ESG. [read post]
11 Feb 2011, 7:45 am
Scott Farah was allegedly a registered representative of the broker-dealer Franklin Financial Services Corporation (now known as American General Equity Services Corporation) from March 1999 through October 2002. [read post]
6 May 2019, 6:00 am
If financial abuse seems likely, you may want to contact your state’s adult protective services and the local police for assistance.You should also contact any bank or other financial institution involved to notify them of the potential abuse, and they may be able to assist you. [read post]
21 Jan 2008, 8:59 am
Losing money because of the misconduct of a broker or a broker-dealer can be a huge financial blow to an investor. [read post]
28 May 2019, 9:13 am
There are as many as 60 brokerage firms that sold these funds and among the largest of those firms are Royal Alliance Associates Inc., Sagepoint Financial Inc., FSC Securities Corp. and Woodbury Financial Services Inc. [read post]
SEC Names Holli Heiles Pandol as Director of the Office of Legislative and Intergovernmental Affairs
26 Jun 2019, 12:50 pm
Pandol spent over five years on Capitol Hill, most recently as Counsel at the House Financial Services Committee. [read post]
22 Apr 2015, 8:19 am
Currently, much private-sector information sharing is conducted through Information Sharing and Analysis Centers (“ISACs”), which limit the sharing of information on cyber threats and analysis to a specific sector (e.g., financial services, retail, energy, aviation, etc.). [read post]
7 Jul 2013, 5:00 am
Related posts:PatentCore Joins Forces with LexisNexis® on Patent Advisor™Reed Technology and Information Services Inc., a part of the LexisNexis® family and a provider of content management services, announced earlier today that it has joined forces with PatentCore. [read post]
22 Apr 2015, 8:19 am
Currently, much private-sector information sharing is conducted through Information Sharing and Analysis Centers (“ISACs”), which limit the sharing of information on cyber threats and analysis to a specific sector (e.g., financial services, retail, energy, aviation, etc.). [read post]
24 Jul 2017, 8:41 am
Wood spent 10 years on Capitol Hill, most recently as Senior Advisor and Counsel at the House Financial Services Committee. [read post]
17 Feb 2008, 11:24 pm
He also worked at one of the Big 4 accounting firms in its financial advisory and corporate restructuring services group for nearly 10 years. [read post]
28 Oct 2022, 6:30 am
Posted by Rich Fields and Rusty O’Kelley, Russell Reynolds Associates, on Friday, October 21, 2022 Tags: board effectiveness, Board evaluation, Board of Directors, Executive value, external evaluations, internal evaluation, Proxy advisors A Graphical Look at U.S. [read post]
27 Nov 2023, 7:44 am
His previous employers included Oriental Financial Services Corp. [read post]
29 Dec 2020, 12:04 pm
Previous employers include Ameriprise Financial Services, Inc. [read post]
4 May 2016, 6:51 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including complying with federal and state laws and rules. [read post]
