Search for: "Financial Advisors Services"
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17 May 2019, 7:19 am
Richard Vincent Minichino II (CRD#: 5760826) is a former registered broker and investment advisor whose last employer was Next Financial Group, Inc. [read post]
17 May 2019, 2:00 am
It provides mutual funds, subadvisory services, and separate account management for individual and institutional investors, retirement plans, and financial intermediaries. [read post]
16 May 2019, 12:44 pm
Voya Financial Partners, LLC is a large financial services firm which has a “vision to be America’s retirement company. [read post]
15 May 2019, 1:24 pm
According to BrokerCheck records financial advisor Brian Thomas (Thomas), currently employed by Harbor Financial Services, LLC (Harbor Financial) has been subject to at least six customer complaints during the course of his career. [read post]
15 May 2019, 1:24 pm
According to BrokerCheck records financial advisor Robert Berg (Berg), currently employed by Summit Brokerage Services, Inc. [read post]
15 May 2019, 7:21 am
Matthes was also barred by FINRA – the regulatory body charged with overseeing and disciplining financial advisors and their firms. [read post]
14 May 2019, 11:42 am
Johnson served as a House Financial Services Committee staff member. [read post]
14 May 2019, 6:18 am
” Discussants will include Kiron Skinner, the director of the office of policy planning and the senior policy advisor to the secretary of state; Mary Elizabeth Taylor, the assistant secretary of state for legislative affairs; and Yleem D.S. [read post]
13 May 2019, 9:37 am
According to news reports on May 1, Thomas Lagan, financial advisor and lawyer, has reportedly pleaded guilty to stealing $9 million from Capital Region philanthropists. [read post]
10 May 2019, 6:17 am
When Dual-Class Stock Met Corporate Spin-Offs Posted by Geeyoung Min (Columbia Law School) and Young Ran (Christine) Kim (University of Utah), on Friday, May 3, 2019 Tags: Agency costs, Agency model, Dividends, Dual-class stock, IPO Spinning, IPOs, Management, Mergers & acquisitions, Reorganizations, Shareholder voting, Spinoffs Aiming Toward the Future Posted by Tami Groswald-Ozery, Harvard Law School, on Friday, May 3, 2019 … [read post]
8 May 2019, 10:28 am
” FINRA Dispute Resolution is an arbitration venue for investors with claims against their brokerage firm or financial professional. [read post]
8 May 2019, 9:31 am
Robo-advisors and chatbot applications are gaining momentum in the market. [read post]
8 May 2019, 6:51 am
According to BrokerCheck records financial advisor Peter Bakalis (Bakalis), currently employed by D.H. [read post]
7 May 2019, 6:26 am
Bernard Financial Services, Inc. [read post]
6 May 2019, 7:50 am
This past Wednesday the House Committee on Financial Services’ Subcommittee on Oversight and Investigations held a hearing titled “Examining Discrimination in the Automobile Loan and Insurance Industries. [read post]
6 May 2019, 7:12 am
Event Announcements (More details on the Events Calendar) Monday, May 6 at 10:00 a.m.: The Center for Strategic and International Studies will host Michael O’Hanlon for a conversation on his new book, “The Senkaku Paradox: Risking Great Power War Over Small Stakes. [read post]
6 May 2019, 6:00 am
If financial abuse seems likely, you may want to contact your state’s adult protective services and the local police for assistance.You should also contact any bank or other financial institution involved to notify them of the potential abuse, and they may be able to assist you. [read post]
3 May 2019, 7:11 am
Dougherty raised over $7 million through providing fraudulent advisory services through his firm, C&D Professional Services, Inc. [read post]
3 May 2019, 6:38 am
Kahan, Morrison & Foerster LLP, on Saturday, April 27, 2019 Tags: Cryptocurrency, Financial technology, Howey test, ICOs, SEC, Securities enforcement, Securities regulation Engaging With Your Investors Posted by David Shammai and Kiran Vasantham, Morrow Sodali, on Sunday, April 28, 2019 Tags: Boards of Directors, Engagement, ESG, Institutional Investors, Long-Term value, Stewardship Economic Value Added:… [read post]
3 May 2019, 3:05 am
Meanwhile, State Street Global Advisors is fed up with the ESG ratings free-for-all and is now applying its own scoring system – “R-Factor. [read post]
