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24 May 2019, 10:35 am
Our conclusion is that broker-dealers and other financial services firms need to be aware of increased regulatory efforts and scrutiny from state and local securities regulators in an ever-shifting and increasingly complex regulatory landscape. [read post]
20 Jan 2020, 1:23 pm
The New York Department of Financial Services has announced that Leandra English, who formerly served as CFPB Deputy Director, has joined the NYDFS executive team as Special Policy Advisor. [read post]
27 Feb 2019, 4:00 am
Drake, a former financial advisor with HCR Wealth Advisors, over-billed a high-profile athlete and his wife for wealth management services. [read post]
28 Jul 2018, 1:00 am
What’s going to happen if something were to happen to their financial advisor? [read post]
3 Dec 2020, 8:56 am
Moreover, the financial advisor’s U-4 sets forth that a financial advisor (or associated person in the industry) agrees to FINRA’s jurisdiction for disputes. [read post]
4 Oct 2020, 12:46 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) Hannes was employed by his prior employer Woodbury Financial Services, Inc. [read post]
31 Dec 2018, 7:50 am
According to BrokerCheck records financial advisor Michael Heath (Heath), currently employed by Infinity Financial Services (Infinity Financial) has been subject to one regulatory action, two employment terminations for cause, and one civil lien during his career. [read post]
2 Jun 2019, 2:21 pm
According to BrokerCheck records financial advisor Marvin Fisher (Fisher), currently employed by SagePoint Financial, Inc. [read post]
26 Apr 2008, 10:26 pm
I ran across a blog that did a series examining Primerica Financial Services, a multi-level marketing company that purports to sell financial products. [read post]
29 Jan 2016, 9:01 am
One of the main issues facing financial advisors who sell funds and master-limited partnerships is suitability. [read post]
3 Nov 2020, 11:01 am
Vonna Kay Husby was a financial advisor at Raymond James Financial Services, Inc. in Fairbanks, Alaska, from August 2003 until May 2019. [read post]
25 Aug 2020, 6:05 am
The advisors involved in this case were both registered investment advisors who sold retirement plans and other investment products to the financial services company’s clients on behalf of that firm. [read post]
3 Dec 2018, 1:44 pm
Previously, in June 2014 Pariser was discharged by SWS Financial Services, Inc. for potentially wrongfully exercising discretion in client accounts. [read post]
3 Aug 2018, 6:49 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]
22 Apr 2021, 6:15 am
Broker-dealers under the Advisor Group (which includes SagePoint Financial, Royal Alliance Associates Inc., Triad, Woodbury Financial Services, and FSC Securities) have increased legal reserves by about $4.4 million compared to the prior year, according to SEC filings. [read post]
5 Feb 2018, 10:05 am
The post How To Sue IBN Financial Services for Unsuitable Investments Sold by Broker Donald Lueke appeared first on . [read post]
28 Jul 2020, 6:09 am
The Securities and Exchange Commission today charged Houston-based VALIC Financial Advisors Inc. [read post]
11 Jan 2016, 8:55 am
It is also important to note that, according to National Adult Protective Services, senior citizens are usually abused by someone they know and trust, so advisors should monitor accounts more closely once a trusted agent has exercised a POA. [read post]
24 Jan 2022, 2:45 pm
The Securities and Exchange Commission charged German Nino, a former securities broker and investment adviser representative for UBS Financial Services Inc., with stealing $5.8 million from a long-standing client. [read post]
9 Jan 2020, 2:00 am
When 401(k) plans first hit the scene in the early to mid-80s, financial advisors focused primarily on investment lineups, and that was OK with plan sponsors. [read post]
