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11 Oct 2020, 12:28 pm
January 29, 2020 – Independent of the President, Health and Human Services Secretary Alex Azar established a COVID virus task force to address the approaching threat. [read post]
8 Oct 2020, 1:50 pm
Policy on the Art Market: Recommendations for Combating Financial Crimes. [read post]
8 Oct 2020, 1:50 pm
Policy on the Art Market: Recommendations for Combating Financial Crimes. [read post]
8 Oct 2020, 8:19 am
Investors in Moody National REIT II (“Moody II”) may have FINRA arbitration claims, if their investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the stockbroker or advisor. [read post]
8 Oct 2020, 4:50 am
FINRA recently fined Wells Fargo Advisors Financial Network and Clearing Services more than $2 million for switching 100 clients from annuities to other products. [read post]
7 Oct 2020, 8:55 pm
On 6 October 2020, the PRA published a speech by Nick Strange (Senior technical advisor, supervisory risk specialists) entitled Resilience in a time of uncertainty. [read post]
7 Oct 2020, 7:53 am
His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. [read post]
6 Oct 2020, 9:39 am
There has been a shift in the financial services industry leading to claims against registered investment advisors, hedge funds, and others which are governed by different sets of rules. [read post]
6 Oct 2020, 6:30 am
Where necessary, seeks approval of the MSA from the Centers for Medicare and Medicaid Services. [read post]
5 Oct 2020, 9:05 pm
When market participants apply emerging technology in novel ways in financial services, deciding how to regulate can involve more than the traditional topics and disciplines at the heart of the SEC’s expertise. [read post]
5 Oct 2020, 12:04 pm
Oversee portfolio budget and facilitate cross-functional processes for fundraising, proposal development, and financial analyses. [read post]
5 Oct 2020, 6:50 am
His previous employers include JHS Capital Advisors, LLC (CRD#:112097), also of Massapequa, Gunnallen Financial, Inc. [read post]
5 Oct 2020, 2:00 am
The post Cyberthieves Use Pandemic to Pry, Pounce on Your Data appeared first on HR Daily Advisor. [read post]
4 Oct 2020, 12:46 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) Hannes was employed by his prior employer Woodbury Financial Services, Inc. [read post]
2 Oct 2020, 8:20 am
However, if a person has exhausted all options and consulted with a financial advisor, in some situations, bankruptcy may be the most appropriate way to move forward. [read post]
2 Oct 2020, 8:20 am
However, if a person has exhausted all options and consulted with a financial advisor, in some situations, bankruptcy may be the most appropriate way to move forward. [read post]
2 Oct 2020, 2:00 am
Through Integris Performance Advisors—the firm they cofounded—Cooper and Kerrigan have helped clients increase employee engagement, improve efficiency, and generate hundreds of millions in financial benefit. [read post]
1 Oct 2020, 3:37 am
Legal Support (eDiscovery and Computer Forensics Division)Business Intelligence Associates (BIA) 5-Dec-17HAYSTACK ID LLC (Investee)TCF Capital Funding (Support Of Knox Capital Holdings and Maranon Capital) in Recapitalization (Investor)$17.800,000 30-Nov-17E-STETEY 28-Nov-17AllegoryIntegreon 31-Oct-17Avalon Document Services (Merger)C:Dox (Merger) 23-Oct-17NexLP (Investment)Method Capital and Dundee Venture Capital (Investors)$3,000,000 23-Oct-17HAYSTACKID LLC (Investee)Knox Capital… [read post]
1 Oct 2020, 1:53 am
An independent financial adviser (IFA) is a professional financial advisor regulated by the Financial Conduct Authority (FCA). [read post]
30 Sep 2020, 7:26 am
A prospective franchisee is well advised to speak with a financial advisor or accountant with franchise experience to develop a detailed business plan that factors in restrictions on pricing and suppliers, and the fees and marketing expenses that may be mandatory under a franchise agreement. 3) How Can You Get Out? [read post]
