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28 Oct 2020, 11:06 am
Harlan Cardwell III (Tra Cardwell) Prospera Financial Services Financial in Vernon, Texas According to the The Financial Industry Regulatory Authority (FINRA), the regulator reportedly barred ex-Prospera Financial Services advisor, Harlan Cardwell III in all capacities on May 3, 2019 after he failed to respond to FINRA’s December 14, 2018 request for information relating to his November 29, 2018 termination from his firm. [read post]
28 Oct 2020, 6:45 am
Florida Financial Advisor is Named in at Least 10 FINRA Cases, Including One $25 Million Claim If you suffered losses while working with UBS Financial Services (UBS) stockbroker, Jose Manuel Cornide, Jr., you may be able to file a Financial Industry Regulatory Authority (FINRA) arbitration claim for your losses. [read post]
26 Oct 2020, 12:41 pm
Advisory services offered through Per Stirling Capital Management, LLC. [read post]
Cynthia Cowden, NPB Financial Advisor, Reportedly Barred after Unsuitable Investment Recommendations
26 Oct 2020, 7:45 am
” According to her broker report, Cowden was reportedly affiliated with NPB Financial Group Financial Services in Lake Isabella, CA from 2013 to 2020. [read post]
26 Oct 2020, 7:42 am
(CRD#:18697) and Securian Financial Services, Inc. [read post]
23 Oct 2020, 11:00 am
Continue reading The post Financial Advisor Donatas B. [read post]
23 Oct 2020, 8:55 am
For investors who have been defrauded by a financial advisor or others, FINRA arbitration is frequently the best place to secure a recover for losses. [read post]
23 Oct 2020, 8:03 am
Terrence Diehl LPL Financial LLC Private Advisor Group Alex Herrera UBS Financial Services Inc. [read post]
23 Oct 2020, 6:57 am
In many cases, brokerage firms may be held liable for failing to supervise the financial advisor or other negligence. [read post]
23 Oct 2020, 6:03 am
Monks and Nell Minow, ValueEdge Advisors, on Thursday, October 22, 2020 Tags: Conflicts of interest, DOL, ERISA, ESG, Institutional Investors, Oversight, Proxy advisors, Proxy voting, Securities regulation, Shareholder proposals, Shareholder voting The Future of Financial Fraud Posted by Jonathan M. [read post]
23 Oct 2020, 3:00 am
National/Federal Back from the Supreme Court, House Pushes DC Circuit for Trump Financials Courthouse News Service – Megan Mineiro | Published: 10/20/2020 A three-judge panel on the District of Columbia Circuit Court of Appeals indicated there is little need for a swift ruling in the legal battle over access to President Trump’s financial records The panel previously upheld the subpoena brought by the House but considered the case for the second time… [read post]
22 Oct 2020, 9:05 pm
The subcommittee also found that existing laws give financial regulators adequate tools for addressing those risks. [read post]
21 Oct 2020, 8:54 am
With regard to financial services, the Commission is planning a large number of new initiatives in the upcoming year. [read post]
21 Oct 2020, 8:52 am
Financial Advisor Sean Refsnider, Ameriprise Financial Services in Haddon Heights, NJ FINRA Reportedly Bars Sean Refsnider after Allegations of Stealing Funds from Elderly Client According to ThinkAdvisor on October 16, The Financial Industry Regulatory Authority (FINRA) has reportedly barred ex-Ameriprise advisor, Sean Refsinider after he allegedly converted $42,000 from an elderly client for his own use. [read post]
21 Oct 2020, 2:00 am
Beers, M.Sc., works within the Talent Solutions group at PSI Services. [read post]
20 Oct 2020, 10:18 am
Xiaoli is currently working at a strategy and economics consulting firm, and Alice is working at a financial sciences company. [read post]
20 Oct 2020, 7:20 am
Ronald Birnbaum (Ronald David Birnbaum CRD# 238250) is a broker and investment advisor currently registered with Advisory Group Equity Services Ltd. and Trust Advisory Group Ltd. [read post]
16 Oct 2020, 9:18 am
Too many estate planning attorneys are still living in their ivory towers … waiting for referrals from financial advisors or CPAs … instead of showing up for people where they are … online! [read post]
16 Oct 2020, 6:41 am
The SEC’s responses included examples of common situations when broker-dealers typically may refer to themselves as “advisers” or “advisors” when not so registered, including when such broker-dealer is acting in a role defined by statute such as a municipal advisor or commodity trading advisor. [read post]
15 Oct 2020, 6:33 am
Broker and the Firm Andrew Samuel Perri, the president of Pinnacle Wealth Management in Brighton, Michigan, and a former stockbroker has been named in a customer dispute, along with broker-dealer Berthel, Fischer, & Company Financial Services. [read post]
