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26 Sep 2022, 1:56 pm
FINRA also offers arbitration services for those who have been harmed by a stockbroker or investment advisor. [read post]
17 Dec 2010, 5:53 am
It appears that in December 2007, Harrison and Sawyers, operating under the trade name Harrison/Sawyers Financial Services allowed these individuals to conduct business from an independent Wachovia office and where as part of their sales practices, they were allegedly offering their Wachovia customers an investment opportunity that they misrepresented was guaranteed to make a 35% return, with no risk of loss of principal. [read post]
17 Jun 2012, 9:30 pm
-based law firm, has specialized for more than three decades in the practice of regulatory law across a variety of areas, from financial services and securities regulation to natural resources and environmental law. [read post]
17 Dec 2008, 8:33 am
Surely his career as an investment broker, as a financial advisor, as a Wall Street executive, is over. [read post]
16 Mar 2010, 8:00 am
(e) COMPENSATION OF COMPENSATION CONSULTANTS, INDEPENDENT LEGAL COUNSEL, AND OTHER ADVISORS. [read post]
1 Apr 2013, 1:11 am
Following its broad ruling in UBS Financial Services v. [read post]
22 Feb 2022, 12:09 pm
Ian Ha Infinity Financial Services AXA Advisors, LLC Ikea Huggins Narith Long NYLife Securities LLC Northwestern Mutual Investment Services, LLC Frank Mathis Fidelity Brokerage Services LLC TD Ameritrade, Inc. [read post]
8 Feb 2017, 6:40 am
According to InvestmentNews, only about 12% of financial advisors have any type of disclosure event on their records. [read post]
29 May 2017, 9:25 am
From September 2003 until October 2012, Swarbrick was registered with Woodbury Financial Services, Inc. [read post]
12 Feb 2015, 5:40 am
Finally from October 2011 through October 2014, Lavine was associated with UBS Financial Services, Inc. [read post]
27 Apr 2016, 11:49 am
Such disclosures on a broker’s record can reveal a financial incentive for the broker to recommend high commission products or services. [read post]
27 Apr 2015, 6:28 am
From October 2005 until October 2008, Vitucci was registered with AIG Financial Advisors, Inc. [read post]
29 Jul 2018, 1:44 pm
From March 2008 to July 2009, Mirabella was registered with Aura Financial Services, Inc. [read post]
8 Feb 2017, 6:40 am
According to InvestmentNews, only about 12% of financial advisors have any type of disclosure event on their records. [read post]
7 Feb 2022, 2:09 am
appeared first on HR Daily Advisor. [read post]
22 Dec 2011, 8:27 am
Each barrier to access, when alleviated, represents an opportunity for engagement and, if done correctly, an opportunity for financial sustainability. [read post]
20 Sep 2023, 7:20 am
According to his FINRA BrokerCheck report, Ron Filoramo was registered with the following firms during his career, among others: 04/29/2011 – 05/31/2023, MORGAN STANLEY (CRD#:149777), Fort Lauderdale, FL, B, 05/05/2006 – 05/02/2011, WELLS FARGO ADVISORS, LLC (CRD#:19616), HALLANDALE, FLB, 08/26/2002 – 05/25/2006, UBS FINANCIAL SERVICES INC. [read post]
30 Oct 2011, 1:55 pm
Tax attorneys, accountants and certain other tax advisors or representatives are required by new Internal Revenue Service rules to obtain a preparer tax identification number (PTIN). [read post]
25 Oct 2017, 8:02 am
Alan Kaplinsky, who leads the firm’s Consumer Financial Services Group, provided testimony on behalf of the industry at three CFPB field hearings on the arbitration rule. [read post]
8 Dec 2023, 11:11 am
The rule addresses potential conflicts of interest that may arise when a broker or financial advisor is named as a Trustee, beneficiary or executor of a client’s estate. [read post]
