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7 Jan 2019, 3:45 am
Determines organization mission goals, develops plans, formulates, defends and justifies personnel and coordinated with the Chief Financial Officer on financial resources needed to accomplish the agency’s mission. [read post]
7 Jan 2019, 2:00 am
This is particularly poignant when you consider the finding that the financial services sector has more training opportunities overall. [read post]
5 Jan 2019, 9:32 am
Plus, selling a basket of stocks and bonds requires ongoing professional service and advice from the financial advisor. [read post]
4 Jan 2019, 12:32 pm
John Michael Cione (CRD #1742561) is a registered broker and investment advisor currently employed with Independent Financial Group (CRD #7717) of San Diego, CA. [read post]
4 Jan 2019, 6:56 am
According to Investment News, the Prosecutor alleges that Schmidt, while employed a financial advisor for Wells Fargo Advisors, stole money from clients while operating a Ponzi scheme. [read post]
3 Jan 2019, 11:33 am
(SF), First Union Securities, First Union Capital Markets, PaineWeber, Prudential-Bache Securities, IDS Life Insurance Company, IDS Marketing Corp. and IDS Financial Services. [read post]
3 Jan 2019, 10:09 am
According to BrokerCheck records financial advisor Steven Reznik (Reznik), formerly employed by Raymond James Financial Services, Inc. [read post]
3 Jan 2019, 7:58 am
Thanks to all of the amazing founders, advisors, co-investors, corporate partners, and others that helped make 2018 an amazing year. [read post]
3 Jan 2019, 5:57 am
According to FINRA Disciplinary actions for December 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Barrick, Tabor FBL Marketing Services, LLC Allstate Financial Services, LLC Conklin, Jeffrey The Huntington Investment Company… [read post]
3 Jan 2019, 12:30 am
Yanira Reyes, Matthew Countryman, for Propel Financial Services, Appellee. [read post]
2 Jan 2019, 2:55 pm
Ramirez, 463 S.W.3d 499, 504 (Tex. 2015) (per curiam); Mann Frankfort Stein & Lipp Advisors, Inc. v. [read post]
2 Jan 2019, 10:57 am
— [1] See Financial Industry Regulatory Authority (FINRA) Report on Digital Investment Advice https://www.finra.org/sites/default/files/digital-investment-advice-report.pdf (2016). [read post]
2 Jan 2019, 4:00 am
No provision exists for disciplining or supervising agents and protecting the public from financial loss arising from the improper performance of their responsibilities by way of an insurance scheme like that of the law society. [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]
28 Dec 2018, 10:12 am
Vet your financial advisor. [read post]
28 Dec 2018, 6:00 am
Another aim of the indictment strategy is to demonstrate that the U.S. government can burrow deeply into foreign intelligence services and related foreign activities and pick out individuals and their activities with extraordinary precision. [read post]
22 Dec 2018, 8:23 am
From August 2012 until August 2017 Kelly was associated with Capital Financial Services, Inc. [read post]
18 Dec 2018, 2:30 pm
Use independent Subject Matter Experts, not managers or employees, for security audits, financial reviews, intelligence services, and guidance regarding internal sensitive matters. [read post]
18 Dec 2018, 11:12 am
First Southwest Michael Giokas Fortune Financial Services, Inc Comprehensive Asset Management and Servicing Travis Marks Wells Fargo Advisors, LLC JP Morgan Securities LLC Richard Minichino Next Financial Group, Inc Wunderlich Securities, Inc Thomas Park Merrill Lynch, Pierce, Fenner & Smith Inc Wells Fargo Clearing Services, LLC Brian Roth… [read post]
18 Dec 2018, 11:08 am
Hill Securities, LLP Suntrust Investment Services, Inc Lloyd Johnston Capital Financial Services, Inc BP&J / LLC Robin Lomont Bradley Pace LPL Financial LLC A.J. [read post]
