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14 Dec 2023, 9:01 pm
The New York Department of Financial Services (NYDFS) has finalized amendments (“Amended Regulation”) to its cybersecurity rule (“Cybersecurity Rule”) that applies to financial institutions licensed by the NYDFS. [read post]
28 Mar 2023, 12:25 pm
Here is the abstract: In recent years, many corporate attorneys have tried to function not merely as legal advisor to their clients, but as business consultants to them, and even as investors in their enterprises. [read post]
10 Mar 2022, 2:05 am
To be competitive in the war for talent, companies need to step up with better healthcare, continued education and certifications, unrestricted emergency savings vehicles, access to short-term financial liquidity, robust retirement matches, ready access to mental health services, safe spaces to deal with addictions, inclusive work environments, and many more things to foster the holistic wellness of each employee. [read post]
28 Jun 2012, 6:38 am
The complex bankruptcy transaction was named “Healthcare Services Turnaround of the Year” at the annual awards gala in Chicago. [read post]
3 Sep 2024, 7:13 am
Automated trading algorithms and AI-based financial advisory services are reducing the need for human traders and financial advisors. [read post]
15 Apr 2022, 6:24 am
Many GWG Investors have already hired attorneys to file FINRA arbitration claims against their financial advisor. [read post]
5 Feb 2024, 9:05 pm
The National Association of Insurance and Financial Advisors (NAIFA), an opponent of the proposed rule, argues that existing state and federal measures already sufficiently protect investors. [read post]
18 Aug 2015, 6:23 am
From January 2003, until May 2007, Honingstock was registered with UBS Financial Services, Inc. [read post]
3 Aug 2015, 6:17 am
Thereafter, from December 2009, through February 2012, Delguercio was associated with UBS Financial Services Inc. [read post]
19 Sep 2014, 2:11 am
”In total, approximately 2000 of the total 33 000 investors have lodged complaints against their financial advisors regarding investments in Sharemax.Termination of rescue proceedingsAs part of the liquidation process, Sars also applied for the termination of the rescue proceedings for Sharemax Investment as a the requirements for business rescue had not been fulfilled. [read post]
26 Dec 2016, 12:02 pm
It can involve the services of a variety of professionals, including your lawyer, accountant, financial planner, life insurance advisor, banker and broker.Estate planning covers the transfer of property at death as well as a variety of other personal matters and may or may not involve tax planning. [read post]
9 Oct 2012, 3:53 pm
Also, a customer of Infinity was acting as a commodity trading advisor and trading client accounts even without a power of attorney or the necessary registration. [read post]
30 May 2011, 1:30 pm
It would also expand the Secret Service’s authority to use funds to advance under cover operations. [read post]
28 May 2021, 7:21 am
However, a financial advisor or brokerage firm cannot argue that they currently lack the “bona fide ability to pay”. [read post]
19 Feb 2021, 7:56 am
Allstate Financial Services, LLC Timothy Melvin Horace Mann Investors, Inc. [read post]
3 Jul 2018, 2:00 am
They offer services that help employees with their physical, mental, and financial wellness. [read post]
3 Jul 2018, 2:00 am
They offer services that help employees with their physical, mental, and financial wellness. [read post]
7 Jul 2021, 1:40 pm
Idean Esfahani Wells Fargo Clearing Services, LLC Justyn Euan Wells Fargo Clearing Services, LLC Ngonidzashe Parirenyatwa Wells Fargo Clearing Services, LLC Planco Financial Services, LLC Laquita Antionette Pettis Wells Fargo Clearing Services, LLC Rodney Repko Lincoln Financial Advisors Corporation Valic Financial Advisors,… [read post]
28 May 2019, 1:42 pm
On 3/4/2019, the SEC also barred Gennity from association with “association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or NRSRO. [read post]
26 Oct 2020, 12:41 pm
Advisory services offered through Per Stirling Capital Management, LLC. [read post]
