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18 Jan 2016, 7:37 am
They are also a dream product for Wall Street because of the fees they generate, which may cause unscrupulous financial advisors looking to maximize their own commissions to recommend them improperly. [read post]
29 Feb 2016, 8:47 am
Under the Act, Florida’s Office of Financial Responsibility (“OFR”) is responsible for regulating FTCs. [read post]
10 Jan 2019, 2:00 am
The post DOL Exacting Fines for Noncompliant Wellness Incentives appeared first on HR Daily Advisor. [read post]
7 Jun 2022, 9:12 am
You’ll want to consult with your CPA and financial advisor as to the best approach and amount to pay. [read post]
7 Jan 2015, 6:00 am
C&J’s primary financial advisor was Goldman Sachs. [read post]
30 Oct 2013, 5:58 am
The UBS Puerto Rico family of funds consists of 14 closed-end funds sold exclusively through financial advisors and brokers with UBS Financial Services Inc. of Puerto Rico. [read post]
23 May 2019, 7:36 am
Cole Financial, Inc Morgan Stanley Donato, Scott Morgan Stanley Flaningan, Joel NYLife Securities LLC Synergy Investment Services LLC Johnson, Anthony Marnelego, Christopher First Standard Financial Company LLC Merriman Capital, Inc Ness, Valerie Norris, Timothy BMO Harris Financial Advisors, Inc HarrisDirect LLC Tudor, Mark Raymond James… [read post]
26 Aug 2024, 3:00 am
At Harbor, Applebaum aims to redefine the company’s value proposition and position it as a holistic service provider for the legal industry. [read post]
9 Aug 2019, 11:27 am
An article I wrote for the NES Financial blog addresses some of the questions that arise when EB-5 sponsors make redeployment decisions, including: Should EB-5 investors be asked to approve a redeployment? [read post]
3 Jul 2017, 1:52 pm
According to newsources, only about 7.3% of financial advisors have any type of disclosure event on their records among brokers employed from 2005 to 2015. [read post]
29 Jun 2017, 4:04 am
Legal services marketing seeks to engage prospects when they are most apt to select an attorney or a law firm to solve a problem. [read post]
18 Jan 2016, 7:47 am
They are also a dream product for Wall Street because of the fees they generate, which may cause unscrupulous financial advisors looking to maximize their own commissions to recommend them improperly. [read post]
6 Sep 2009, 5:28 pm
So, as a sort of public service, I am offering my advice to the President on what is going wrong and what he should do differently.1. [read post]
11 Apr 2017, 7:00 am
In the meantime, other financing tools such as equity crowdfunding or financial cooperatives may be attractive to socially responsible businesses. [read post]
4 Dec 2014, 5:05 am
Brian Wolfman and Bradley Girard covered the oral argument for this blog, while Leland Beck weighed in at Federal Regulations Advisor. [read post]
29 Aug 2017, 10:00 am
This is a requirement for anyone who provides retirement planning, but is not necessarily required for financial advisors. [read post]
12 Oct 2017, 12:35 pm
You may contact the Florida Department of Financial Services by telephone at 1-877-693-5236 for more information. [read post]
2 Apr 2018, 11:00 am
Prior to entering public service, Ms. [read post]
14 Dec 2021, 9:00 am
The regulator censured and fined Wells Fargo Advisors Financial Network $100,000; and censured and fined Wells Fargo Clearing Services $550,000 plus $2.083 million in restitution. [read post]
3 May 2022, 9:01 am
He was reportedly affiliated with the following firms, among others, during his career in the securities industry: 09/20/2013 – 12/15/2021, EDWARD JONES (CRD#:250), GIG HARBOR, WA, 06/06/2011 – 08/23/2013, UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455), TACOMA, WA Potential Lawsuits to Recover Financial Losses The White Law Group is investigating potential securities fraud… [read post]
