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22 Nov 2013, 12:41 pm
Scott Herckis (“Herckis”) had brought to the attention of the SEC certain fraudulent activities at the Heppelwhite Fund LP, where he acted as fund administrator through his financial and accounting services firm, SJH Financial, LLC. [read post]
13 Jan 2023, 11:20 am
The disabled adult may specify the decisions that the supporter will assist with, which may include ensuring that they have the proper food, clothing, and shelter; addressing issues related to their physical or mental health; assisting with financial matters; securing benefits and services as needed; and helping them pursue education or employment. [read post]
22 Apr 2019, 7:39 pm
While the cost of divorce varies according to region and the services provided, we can assess the average divorce cost in the United States. [read post]
25 Nov 2020, 9:51 am
We recognize Janie Hipp, Jillian Hishaw, Doug O'Brien and Monica Rainge for their service. [read post]
14 Dec 2018, 2:00 am
She has nearly 30 years’ experience as a writer/editor of financial services news. [read post]
16 Sep 2024, 3:08 am
When it comes to non-medical, voluntary benefits–such as life insurance, financial wellness and planning services, pet insurance or legal insurance, a somewhat surprising 39% of employees say they’re “not at all or only slightly familiar” with these types of benefits. [read post]
16 Sep 2024, 3:08 am
When it comes to non-medical, voluntary benefits–such as life insurance, financial wellness and planning services, pet insurance or legal insurance, a somewhat surprising 39% of employees say they’re “not at all or only slightly familiar” with these types of benefits. [read post]
27 Jul 2011, 5:01 am
” About Cole-Frieman & Mallon LLP Informed by significant in-house and private practice experience at some of the most prestigious Wall Street firms, hedge funds, and law firms Cole-Frieman & Mallon LLP has the business acumen and market knowledge to provide legal solutions for a wide range of financial services matters. [read post]
28 Feb 2023, 7:11 am
John Fabiano LPL Financial LLC Wealth Enhancement Advisory Services Samuel Heavrin J.P. [read post]
22 Sep 2022, 8:41 am
Morgan Securities LLC Michael Beebe LPL Financial LLC Nationwide Securities, LLC LeRoy Cantley Salvatore Carollo Allstate Financial Services, LLC Kevin Garasky Pruco Securities, LLC Bankers Life Securities, Inc. [read post]
23 Aug 2018, 5:13 am
In February 2018, Gann was terminated from Berthel Fisher & Company Financial Services, Inc. [read post]
12 May 2010, 3:15 am
In fact, even where cases are lost, claimants are not usually required to pay the costs of their legal advisors under no win no fee arrangements. [read post]
1 Sep 2015, 7:55 am
If you are not sure how this will affect you, we suggest contacting a trusted legal advisor. [read post]
26 Jul 2019, 12:12 pm
Roger Lee Owens has 25 years in the securities industry at 5 different firms, including the following: Cetera Advisors LLC, Elkton, MD— July 18, 2007 to April 10, 2019Legacy Financial Services, Inc., Elkton, MD— December 14, 2005 to July 18, 2007 Uvest Financial Services Group, Inc., Charlotte, NC— August 18, 1997 to December 6, 2005Fortis Investors, Inc., Oakdale, MN— December 14, 1994 to September 5, 1997Banner… [read post]
26 Jul 2019, 12:12 pm
Roger Lee Owens has 25 years in the securities industry at 5 different firms, including the following: Cetera Advisors LLC, Elkton, MD— July 18, 2007 to April 10, 2019Legacy Financial Services, Inc., Elkton, MD— December 14, 2005 to July 18, 2007 Uvest Financial Services Group, Inc., Charlotte, NC— August 18, 1997 to December 6, 2005Fortis Investors, Inc., Oakdale, MN— December 14, 1994 to September 5, 1997Banner… [read post]
6 Apr 2009, 3:11 pm
CASTLE) introduced the following bill; which was referred to the Committee on Financial Services A BILL To amend the Investment Advisers Act of 1940 to remove the registration exception for certain investment advisors with less than 15 clients. [read post]
26 Feb 2021, 6:00 am
Securities and Exchange Commission, on Wednesday, February 24, 2021 Tags: Capital formation, Cryptocurrency, Financial technology, GameStop, Investor protection, Robinhood, Securities enforcement, Securities regulation, Short sales More than 1,200 Empirical Studies Apply the Entrenchment Index of Bebchuk, Cohen and Ferrell (2009) Posted by Leeor Ofer (Harvard Law School), on Wednesday, February 24, 2021 Tags: Boards of… [read post]
10 Sep 2012, 5:27 am
According to authorities, Lane was a long-time financial advisor at Bank of America Investment Services, which later merged with Merrill Lynch. [read post]
17 Mar 2020, 10:13 am
Aggressive financial advisors may have unsuitably recommended energy funds in an effort to chase yield. [read post]
23 Mar 2020, 6:49 am
Aggressive financial advisors may have unsuitably recommended energy funds in an effort to chase yield. [read post]
