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13 Aug 2020, 6:30 am
TD Waterhouse Investor Services, 2006 CanLII 17338 (ONSC), the Ontario Superior Court a held that a financial advisor had to tell his clients that he was changing firms, but that the calls he made prior to and after his departure to his clients were solicitations. [read post]
13 Aug 2020, 5:48 am
Financial Management, Billing, and Timekeeping Does the firm have a budget that is reviewed, at least, on an annual basis? [read post]
12 Aug 2020, 10:51 am
Bryant Caveness, Ameriprise Financial Services, Kingsport, TN FINRA Bars Bryant Caveness for Failure to Cooperate with its Investigation According to Financial Advisor IQ on July 27, citing a document from the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Bryant Caveness for failure to provide information in its investigation into his “potential receipt of checks from senior… [read post]
12 Aug 2020, 10:00 am
” The opinion emphasizes that a lawyer cannot remain ignorant of a transaction, warning that it is “a lawyer’s obligation to inquire when faced with a client who may be seeking to use the lawyer’s services in a transaction to commit a crime or fraud. [read post]
12 Aug 2020, 10:00 am
” The opinion emphasizes that a lawyer cannot remain ignorant of a transaction, warning that it is “a lawyer’s obligation to inquire when faced with a client who may be seeking to use the lawyer’s services in a transaction to commit a crime or fraud. [read post]
12 Aug 2020, 8:49 am
Six Retirees File Suit Alleging Financial Advisor James Blake Daughtry stole $1 Million from Retirement Accounts According to AL.com on July 23, five seniors residing in Alabama and one in Florida filed a lawsuit in Houston County, Alabama alleging their financial advisor, James Blake Daughtry stole more than $1 million from their retirement accounts by purportedly copying and pasting their signatures on documents. [read post]
12 Aug 2020, 2:00 am
For example, one major financial services company experienced a phenomenon whereby female employees in its trade reconciliation group were leaving their positions at significantly higher-than-average rates. [read post]
12 Aug 2020, 2:00 am
For example, one major financial services company experienced a phenomenon whereby female employees in its trade reconciliation group were leaving their positions at significantly higher-than-average rates. [read post]
11 Aug 2020, 7:20 am
VALIC was then exclusively promoting its own financial planning products without considering whether other products/services may be in the best interests of the teacher-clients. [read post]
11 Aug 2020, 2:00 am
” The post Reconciling Management Styles and Employee Engagement in a WFH Setting appeared first on HR Daily Advisor. [read post]
10 Aug 2020, 2:24 pm
Before working for Cetera Advisors LLC (CRD# 10299) starting in 2012, McKinney was previously registered with Securian Financial Services, Inc. [read post]
10 Aug 2020, 2:17 pm
Panelists Nikolaj Gilbert, president and CEO at PATH; Kendall Hoyt, assistant professor of medicine at the Geisel School of Medicine at Dartmouth College; and Nicole Lurie, Strategic Advisor to the CEO at the Coalition for Epidemic Preparedness (CEPI), will join Margaret “Peggy” Hamburg, commissioner on the CSIS Commission on Strengthening America’s Health Security. [read post]
10 Aug 2020, 7:57 am
Sued for Florida and Ohio Financial Advisor Kenneth Wise’s Alleged Misconduct Involving a Credit-Line Investment Strategy. [read post]
10 Aug 2020, 4:00 am
Despite your UBS Financial Services, Inc. [read post]
10 Aug 2020, 4:00 am
Despite your UBS Financial Services, Inc. [read post]
9 Aug 2020, 4:00 am
Despite your UBS Financial Services, Inc. [read post]
9 Aug 2020, 4:00 am
Despite your UBS Financial Services, Inc. [read post]
9 Aug 2020, 4:00 am
Despite your UBS Financial Services, Inc. [read post]
9 Aug 2020, 4:00 am
Despite your UBS Financial Services, Inc. [read post]
9 Aug 2020, 4:00 am
Silverman has been appointed Senior Communications Advisor. [read post]
