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26 Nov 2019, 6:19 am
Variable annuities are a high-fee investment that pay the financial advisor who sells them a generous commission. [read post]
25 Nov 2019, 5:51 pm
Advisor Robert Smith (Smith), according to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA), has been accused of selling GPB Capital. [read post]
25 Nov 2019, 8:26 am
Financial Advisor Dennis Nakamura, McNalley Financial Services in Moraga, CA Are you concerned about investments with Dennis Nakamura in Moraga, CA? [read post]
23 Nov 2019, 8:55 am
According to BrokerCheck records, Rockwell is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Cetera Advisor Networks LLC (Cetera). [read post]
22 Nov 2019, 12:44 pm
Financial Advisor Matthew Leon White, MML Investor Services in Little Rock, AR Are you concerned about investments with Matthew Leon White in Little Rock, AR? [read post]
21 Nov 2019, 2:07 pm
Nonetheless, the court observed that there is “judicial reluctance to restrict financial communications with their clients” because of the relationship of personal trust between clients and their financial advisors. [read post]
21 Nov 2019, 10:27 am
And, earlier this month, she was awarded the Distinguished Service Award from the American Agricultural Law Association (AALA). [read post]
21 Nov 2019, 8:09 am
Last week, the New York Department of Financial Services (“NYDFS”) announced a proposed new regulation that provides greater flexibility for entities licensed, chartered, authorized, registered, or supervised by the NYDFS to disclose confidential supervisory information (“CSI”) to legal counsel and independent auditors. [read post]
20 Nov 2019, 1:09 pm
The Task Force on Financial Technology of the House Financial Services Committee has scheduled a hearing entitled “Banking on Your Data: The Role of Big Data in Financial Services” on November 21, 2019. [read post]
19 Nov 2019, 7:12 am
She is currently not employed by any Broker Dealer as a financial advisor. [read post]
19 Nov 2019, 2:00 am
The post Top 5 Things to Do If You Suspect a Business Data Breach appeared first on HR Daily Advisor. [read post]
19 Nov 2019, 2:00 am
At Advance Financial, customer service lives at the core of our company values. [read post]
18 Nov 2019, 12:55 pm
The subcommittee will hear testimony from Carla Humud, a Middle Eastern affairs analyst for the Congressional Research Service; Mona Yacoubian, a senior advisor at the U.S. [read post]
18 Nov 2019, 2:00 am
Source: freepik2 / shutterstock Amy Ouellette is the Director of Retirement Services at Betterment for Business and thinks that employees and candidates are more interested in more tangible, financial benefits. [read post]
15 Nov 2019, 2:07 pm
Department of the Interior Attorney-Advisor, Office of the Solicitor, Albuquerque, NM. [read post]
15 Nov 2019, 6:17 am
Evidence from Announcements by Institutional Shareholder Services Posted by Paul M. [read post]
15 Nov 2019, 3:00 am
They charged up to $380 per hour for work traditionally handled by dozens of career civil servants in the Centers for Medicare and Medicaid Services’ communications department. [read post]
15 Nov 2019, 2:00 am
The post Poor Assessments Are Harming Your Business and Your Workers appeared first on HR Daily Advisor. [read post]
14 Nov 2019, 3:14 pm
According to a Complaint filed by Janney Montgomery Scott (“Janney”) in the Eastern District of Pennsylvania, financial advisor Jordan Braunstein (“Braunstein”) left with firm client data and violated the restrictive covenants in his contracts. [read post]
14 Nov 2019, 8:06 am
But the SEC and FINRA have recently fined broker-dealers for failing to file Suspicious Activity Reports (SARs) for attempted account takeovers, improprieties by Investment Advisors, elder financial exploitation, and failure to protect client information. [read post]
