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27 May 2020, 7:32 am
In the securities industry since 2008, he was previously registered with Berthel, Fisher & Company Financial Services, Inc. [read post]
27 May 2020, 6:31 am
Previous employers include Suntrust Investment Services, Inc. [read post]
27 May 2020, 2:01 am
The post How a Crisis Unleashes the Human Power to Do the Extraordinary appeared first on HR Daily Advisor. [read post]
22 May 2020, 2:24 am
Our clients are financial service innovators, including fintech companies, registered investment advisers (RIAs), broker-dealers and private fund managers. [read post]
21 May 2020, 9:01 pm
” A person means any “body corporate” (i.e., company) or “individual”—the latter including company directors, company employees, and professional advisors such as lawyers and accountants.i. [read post]
21 May 2020, 6:40 am
According to FINRA Disciplinary actions for February 2020, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Belesis, George Portfolio Advisors Alliance, LLC John Thomas Financial Berghausen, Joseph ADP Broker-Dealer, Inc Cetera… [read post]
21 May 2020, 5:43 am
Hetzel, a partner in the financial services and regulatory practice group at Kaufman Dolowich & Voluck, told Financial Advisor that he is tracking client solicitations from investor attorneys and expects arbitration increases to track the trajectory they took after the 2008 market crash when the number of filings doubled. [read post]
20 May 2020, 2:25 pm
Fagenson, David Newbridge Securities Corp UBS Financial Services Inc. [read post]
20 May 2020, 2:17 pm
Morgan Securities LLC HSBS Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage Services Group, Inc Bailey, Michael PFS Investments Inc Bisch, Sarah Santander Securities LLC Edward Jones Bishop, Tywan Charles Schwab & Co., Inc E Trade Securities LLC Borja, Mauricio Allstate Financial Services, LLC Botner, Ryan MML Investors Securities,… [read post]
20 May 2020, 1:57 pm
Stifel, Nicolus & Company, Inc Sterne, Agee & Leach, Inc Kievman, Cary Ameriprise Financial Services, Inc Morgan Stanley Smith Barney Krupnick, Jeffrey Ameriprise Financial Services, Inc JHS Capital Advisors, LLC Lake, Jonathan Wells Fargo Clearing Services, LLC Morgan Stanley McCutchen, Jerry Sr. [read post]
19 May 2020, 7:58 pm
Plaintiff Michael Woolsey worked as a financial advisor for UBS Financial Services until he made a claim for short-term disability (“STD”) and LTD benefits with Aetna on January 6, 2016, due to issues with migraines and depression that precluded him from working in his own occupation. [read post]
19 May 2020, 1:05 pm
The application and instructions include information and worksheets that are intended to simplify the forgiveness application process and general program compliance, so review them carefully and consult your lender and financial and legal advisors with any questions. [read post]
19 May 2020, 1:05 pm
The loan forgiveness application and instructions are detailed, and borrowers should review them carefully in consultation with legal and financial advisors. [read post]
19 May 2020, 2:00 am
The post Reopening the Workplace with an Eye on Financial Health appeared first on HR Daily Advisor. [read post]
17 May 2020, 12:44 pm
According to newsources, a study revealed that 7.3% of financial advisors had a customer complaint on their record when records from 2005 to 2015 were examined. [read post]
16 May 2020, 8:23 am
This week, the Supreme Court heard oral arguments in three cases involving the validity of subpoenas issued to third parties for President Trump’s financial information—and thanks to a pandemic-induced twist, the arguments were streamed live. [read post]
15 May 2020, 2:47 pm
TCA would cause the Master Fund to recognize these investment banking fees as revenue at the time the agreement was signed, even though these companies lacked the financial wherewithal to pay these fees unless Master Fund was successful in obtaining financing for the company, which rarely occurred, and Master Fund had provided few, if any, services to the company at the time the agreement was signed. [read post]
15 May 2020, 2:47 pm
TCA would cause the Master Fund to recognize these investment banking fees as revenue at the time the agreement was signed, even though these companies lacked the financial wherewithal to pay these fees unless Master Fund was successful in obtaining financing for the company, which rarely occurred, and Master Fund had provided few, if any, services to the company at the time the agreement was signed. [read post]
15 May 2020, 7:49 am
Advisor Marc Linsky (Linsky), currently employed by ProEquities, Inc. [read post]
15 May 2020, 2:01 am
That’s why we use the phrase “culture operating system”—to position culture as something you “operate” in service of your business strategy. [read post]
