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24 Nov 2018, 10:08 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Dexter Thomas (Thomas), formerly associated with United Planners Financial Services of America LP (United Planners) in Dallas, Texas has been accused by his former firm over unapproved securities and making client loans. [read post]
24 Nov 2018, 8:10 am
They don’t sell home health care agency services. [read post]
22 Nov 2018, 7:53 am
(Note: I use “salesperson” as a generic term as most large corporations refer to highly compensated salespeople as account executives, financial advisors, consultants, agents, real estate agent, broker, representative, sales rep, etc. [read post]
19 Nov 2018, 11:56 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]
19 Nov 2018, 9:50 am
According to the Florida Department of Financial Services on October 2, 2017, a consent order was filed involving former financial advisor Christopher Laws. [read post]
19 Nov 2018, 4:01 am
Dozens of broker-dealers from around the country have sold GPB funds, including several Advisor Group broker-dealers: FSC Securities, SagePoint Financial Services, Woodbury Financial Services Inc., and Royal Alliance Associates. [read post]
18 Nov 2018, 6:22 am
From March 1992 until March 2017 Powell was associated with MSI Financial Services, Inc. [read post]
16 Nov 2018, 10:26 am
Update on Richard Cody – Broker Investigation According to reports, former financial advisor Richard Cody pled guilty today to criminal charges filed by the U.S. [read post]
16 Nov 2018, 5:45 am
., on Friday, November 9, 2018 Tags: Clawbacks, Disclosure, Diversity, Environmental disclosure, ESG, Executive Compensation, Glass Lewis, Materiality, Proxy advisors, Risk oversight, Shareholder proposals, Shareholder voting, Written consent Decoding Quant ESG Posted by Mike Chen, George Mussalli, and Yosef Zweibach, PanAgora Asset Management, Inc., on Saturday, November 10, 2018 Tags: Asset… [read post]
16 Nov 2018, 2:00 am
The Times report explains that the federal Department of Health and Human Services is looking at the definition of sex under Title IX, a federal law banning gender discrimination in education programs that receive financial assistance from the government. [read post]
16 Nov 2018, 2:00 am
The Times report explains that the federal Department of Health and Human Services is looking at the definition of sex under Title IX, a federal law banning gender discrimination in education programs that receive financial assistance from the government. [read post]
16 Nov 2018, 2:00 am
The Times report explains that the federal Department of Health and Human Services is looking at the definition of sex under Title IX, a federal law banning gender discrimination in education programs that receive financial assistance from the government. [read post]
15 Nov 2018, 10:00 am
You’ll also need a professional tax advisor, which is likely to be a CPA, and a financial advisor. [read post]
15 Nov 2018, 2:00 am
She has nearly 30 years’ experience as a writer/editor of financial services news. [read post]
15 Nov 2018, 2:00 am
She has nearly 30 years’ experience as a writer/editor of financial services news. [read post]
13 Nov 2018, 12:01 pm
According to BrokerCheck records financial advisor Clarence McGill (McGill), formerly registered with GWN Securities Inc. [read post]
13 Nov 2018, 11:58 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]
13 Nov 2018, 2:00 am
The post Two More Reasons HSAs Are Essential for a Healthy Retirement appeared first on HR Daily Advisor. [read post]
13 Nov 2018, 2:00 am
The post Two More Reasons HSAs Are Essential for a Healthy Retirement appeared first on HR Daily Advisor. [read post]
13 Nov 2018, 2:00 am
The post 10 Things America’s Healthiest Employers Have in Common appeared first on HR Daily Advisor. [read post]
