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1 Jul 2019, 12:43 pm
According to FINRA Disciplinary actions for June 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Andrews, Helen Morgan Stanley Barclays Capital Inc Andreyeva, Tatyana Westpark Capital, Inc Fordham Financial Management, Inc Basarian, Gary Royal Alliance Associates, Inc Integrated Resources… [read post]
1 Jul 2019, 12:40 pm
Morgan Securities LLC AXA Advisors, LLC Maurer, William Voya Financial Partners, LLC Nye, Jason The O.N. [read post]
1 Jul 2019, 9:40 am
Design non-partisan initiatives to provide financial support for the Center and Faculty. [read post]
28 Jun 2019, 7:14 am
Investor.gov also has a page that discusses financial service with a “senior specialist” designation. [read post]
28 Jun 2019, 6:07 am
Posted by John Morley (Yale Law School), on Thursday, June 27, 2019 Tags: Agency costs, Agency model, Exchange Act, Fund managers, Investment Company Act, SEC, Securities Act, Securities regulation, Systemic risk Strategies to Increase Representation of Women and Minorities—Testimony Before the Committee on Financial Services, House of Representatives Posted by Chelsa Gurkin, U.S. [read post]
28 Jun 2019, 3:44 am
Universal healthcare is supposed to keep people healthy and reduce financial barriers to accessing needed care. [read post]
27 Jun 2019, 10:00 am
The House of Representatives has voted to block funding for the highly contentious four-pronged investment advice reform package deemed “Regulation Best Interest” through an amendment to the Financial Services and General Government Appropriations Act. [read post]
27 Jun 2019, 5:12 am
The FCA proposes decision making procedures to: remove an advisor from the public list of proxy advisers if they stop providing services but have not given the FCA notice to be removed from the list; and investigate and discipline proxy advisors that must meet the Regulations but are not authorised by the FCA or PRA under the Financial Services and Markets Act 2000 (FSMA). [read post]
27 Jun 2019, 3:45 am
Financial terms of the acquisition were not disclosed. [read post]
27 Jun 2019, 3:00 am
Maxine Waters (D-Cal.), Chair of the House Financial Services Committee, recently introduced the “Bad Actor Disqualification Act of 2019,” which would significantly clamp down on the SEC’s ability to grant bad actor waivers. [read post]
26 Jun 2019, 2:09 pm
Investors frequently rely on their financial advisor or stockbroker to be their primary financial advisor, FINRA stockbrokers or their employees may be held liable for elder financial abuse or other misconduct. [read post]
26 Jun 2019, 1:06 pm
Smith previously served as a managing director at Patomak Global Partners LLC, where she advised financial services firms, including broker-dealers, exchanges, banks, and asset managers, and public companies on regulatory policy, corporate governance, and compliance matters. [read post]
SEC Names Holli Heiles Pandol as Director of the Office of Legislative and Intergovernmental Affairs
26 Jun 2019, 12:50 pm
Pandol spent over five years on Capitol Hill, most recently as Counsel at the House Financial Services Committee. [read post]
26 Jun 2019, 11:05 am
Moskowitz served as a counsel on the Financial Services Committee of the U.S. [read post]
26 Jun 2019, 11:05 am
Wood spent 10 years on Capitol Hill, most recently as Senior Advisor and Counsel at the House Financial Services Committee. [read post]
26 Jun 2019, 9:11 am
Has a broker or financial advisor asked to be a beneficiary in your will? [read post]
26 Jun 2019, 2:00 am
The post Top 5 Ways Employers Control Healthcare Costs appeared first on HR Daily Advisor. [read post]
24 Jun 2019, 1:41 pm
Event Announcements (More details on the Events Calendar) Tuesday, June 25, 2019, 8:30 a.m.: The Woodrow Wilson International Center for Scholars will hold a conference titled, “Progress at Risk? [read post]
24 Jun 2019, 1:21 pm
In today’s episode, Victor tackles the question, “Are my financial advisors working in my best interest? [read post]
24 Jun 2019, 8:57 am
Of the 19 respondents from corporations, five are in financial services, including one bank, three are in life sciences, three are in insurance, three are in energy and utilities, two are in manufacturing, two are in technology, and one is in entertainment. 84% work for companies with revenues that exceed $10 billion and 100% work for companies with over 10,000 employees. [read post]
