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28 May 2021, 1:27 pm
Michael Goonan Equitable Advisors, LLC Park Avenue Securities LLC Eileen Kenny LPL Financial LLC Private Advisor Group, LLC Norma Kuklis William Kursim Fidelity Brokerage Services LLC National Financial Services LLC John Margain State Farm VP Management Corp. [read post]
3 Jun 2016, 7:32 am
Fraud charges against three brokerage subsidiaries and two former employees of global trading services provider ConvergEx Group LLC and the former CEOs of two of the brokerage subsidiaries – ConvergEx Global Markets and G-Trade Services LLC, in a scheme causing many institutional clients to pay substantially higher amounts than disclosed for the execution of trading orders. [read post]
8 Nov 2022, 3:43 pm
He began his career in public service as a legislative assistant for U.S. [read post]
26 May 2016, 7:10 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]
7 Feb 2020, 6:00 am
Coates, SEC Investor Advisory Committee, on Friday, January 31, 2020 Tags: Asset management, Boards of Directors, Conflicts of interest, Institutional Investors, Proxy advisors, Proxy voting, SEC, Securities regulation, Shareholder proposals, Shareholder voting, Universal proxy ballots Statement by Commissioner Peirce on Proposed Amendments to Modernize and Enhance Financial Disclosures Posted by Hester M. [read post]
6 Feb 2018, 7:36 am
Atiq Urrehman Khan Transamerica Financial Advisors, Inc. [read post]
11 Feb 2011, 7:52 am
Under the terms of the settlement, UBS Securities LLC and UBS Financial Services, Inc. have agreed to offer the repurchase of $1.5 billion in ARS sold to retail investors in New Jersey. [read post]
19 May 2022, 6:34 am
The proxy advisors, Institutional Shareholder Services and Glass Lewis, have taken various positions in proxy solicitations raising these issues, sometimes inconsistent and sometimes using their Say on Pay vote or withholding a vote for one or more directors to show their position on an issue. [read post]
19 May 2022, 6:34 am
The proxy advisors, Institutional Shareholder Services and Glass Lewis, have taken various positions in proxy solicitations raising these issues, sometimes inconsistent and sometimes using their Say on Pay vote or withholding a vote for one or more directors to show their position on an issue. [read post]
19 Jul 2024, 4:45 am
Nawar Alsaadi, CEO and founder of Kanata Advisors and Marie-Josée Privyk, Founder and ESG Advisor of FinComm Services, will take these matters head-on to help both sides stay focused on what is important rather than running down distractions. [read post]
12 Feb 2018, 8:37 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including compliance with federal and state laws and rules. [read post]
23 Feb 2018, 3:33 am
She has nearly 30 years’ experience as a writer/editor of financial services news. [read post]
23 Feb 2018, 3:33 am
She has nearly 30 years’ experience as a writer/editor of financial services news. [read post]
18 Dec 2018, 2:00 am
So, if you can’t offer bonuses during the holidays, you should at least offer them financial wellness and planning services so that they can feel more financially secure. [read post]
21 Jun 2013, 3:30 am
Johnson New York Convention Center Operating Corporation (Javits Center) Henry Silverman Senior Advisor and Vice Chairman of Investment Management Business for Guggenheim Partners, a diversified financial services firm in New York City, Mr. [read post]
16 Dec 2010, 9:03 am
Dressman is also a prior board member and past president of Senior Services of Northern Kentucky and former president of Greenup Haus, Inc., a low-income nonprofit housing project. [read post]
19 Jun 2018, 10:21 am
According to Knuttila’s FINRA BrokerCheck report, he was registered with Capital Financial Services in Perham, MN from June 2012 through December 2017. [read post]
13 Dec 2018, 1:07 pm
The Financial Industry Regulatory Authority (FINRA) has suspended former Securities America broker Michael D. [read post]
24 Jan 2022, 2:01 pm
Stacie Orr Allstate Financial Services, LLC Ryan Ott Equitable Advisors, LLC AXA Advisors, LLC Andre Senegal OneAmerica Securities, Inc. [read post]
15 Feb 2016, 11:56 am
Cinda Collins, senior vice president and financial advisor at RBC Wealth Management says, “In a state of grieving, it can be very easy to forget things. [read post]
