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19 Oct 2018, 2:00 am
Social Rewards A financial services provider was hoping to encourage participation following transition to a new platform. [read post]
19 Oct 2018, 2:00 am
Social Rewards A financial services provider was hoping to encourage participation following transition to a new platform. [read post]
18 Oct 2018, 12:48 pm
According to BrokerCheck records financial advisor George Puliafico (Puliafico), employed by Raymond James Financial Services, Inc. [read post]
18 Oct 2018, 12:20 pm
The SEC Complaint in the Fixelle Case (PDF) Investment Advisor Pleads Guilty to $6.1 Million Ponzi Scheme, Justice.gov, October 16, 2018 Former Financial Advisor Convicted of All Federal Charges Related to $20 Million Ponzi Scheme, Justice.gov., October 17, 2018 The post Investment Advisor Fraud: Dawn Bennett is Convicted in $20M Ponzi Scam, Guilty Plea Reached in $6.1M Fraud, and Genesis Advisory Services Operator Settles SEC Charges appeared first on… [read post]
18 Oct 2018, 10:00 am
Make sure you have excellent advisors on your team if you need to take this step. [read post]
17 Oct 2018, 4:19 pm
In addition to HIPAA’s Security Rules for ePHI, HIPAA Entities typically also are subject to a hodgepodge of non-HIPAA statutory, regulatory and/or contractual obligations to safeguard patient, employee, business partners and other individual, financial, health, tax, peer review and credentialing, trade secrets and other confidential information against improper use, access, destruction or disclosure. [read post]
16 Oct 2018, 3:55 pm
Well known for her extensive work with health care, insurance and other highly regulated entities on corporate compliance, internal controls and risk management, her clients range from highly regulated entities like employers, contractors and their employee benefit plans, their sponsors, management, administrators, insurers, fiduciaries and advisors, technology and data service providers, health care, managed care and insurance, financial services, government… [read post]
16 Oct 2018, 8:06 am
Smith also was a former UBS Financial Services broker. [read post]
16 Oct 2018, 3:09 am
On September 12, the SEC charged a hedge fund advisor with illegally profiting from a “short-and-distort” scheme. [read post]
15 Oct 2018, 2:00 am
It is not hard to imagine the financial services landscape looking radically different in just a few years. [read post]
15 Oct 2018, 2:00 am
It is not hard to imagine the financial services landscape looking radically different in just a few years. [read post]
12 Oct 2018, 12:23 pm
(AFIN) and other illiquid investments by Centaurus Financial and several advisors including Marco Azizi. [read post]
12 Oct 2018, 6:28 am
The Financial Crisis 10 Years Later: Lessons Learned Posted by Brad Karp, Paul, Weiss, Rifkind, Wharton & Garrison LLP, on Friday, October 5, 2018 Tags: Banks, Boards of Directors, Executive Compensation, Financial crisis, Financial institutions, Financial regulation, Risk management, Securities regulation, Systemic risk The Effects of Internal Board Networks: Evidence from Closed-End Funds Posted by… [read post]
11 Oct 2018, 4:35 pm
The proposed regulations define “specified service trade or business” as any business in the fields of health, law, accounting, actuarial science, performing arts, consulting, athletics, financial services, brokerage services, investing and investment management, trading, dealing in securities, or any trade or business where the principal asset of the business is the reputation or skill of one of its employees or owners. [read post]
11 Oct 2018, 10:58 am
Previous to that, he was a UBS Financial Services (UBS) broker. [read post]
8 Oct 2018, 4:28 pm
With potential penalties of that magnitude available, GDPR has captured the attention of corporate executives and their advisors everywhere. [read post]
6 Oct 2018, 6:04 am
From the securities and commodities industry to the financial services industry, cryptocurrencies face a variety of regulatory hurdles. [read post]
6 Oct 2018, 1:00 am
For more information, visit Medina Law Group or Palante Wealth Advisors. [read post]
5 Oct 2018, 12:44 pm
Vest Investment Services (CRD #13686) of Boca Raton, FL. [read post]
5 Oct 2018, 8:25 am
We represent investors, financial professionals and investment firms, nationwide. [read post]
