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10 Oct 2010, 9:31 pm
Andrew Sheng, Chief Advisor to the China Banking Regulatory Commission, puts it in a nutshell: there was massive private gain in the US financial sector leading to massive public loss. [read post]
18 Oct 2010, 2:49 pm
He has been a strategic advisor for ValueAct Capital, The Carlyle Group and Bain Capital on large media and technology deals. [read post]
20 Nov 2020, 6:57 am
In many cases, brokerage firms may be held liable for failing to supervise the financial advisor or other negligence. [read post]
10 Mar 2017, 12:36 pm
The Trump Administration hired Flynn despite the fact it was aware both of his financial relationship with Turkey and that he had not registered under FARA. [read post]
2 Aug 2016, 8:21 am
This second certification will effectively prevent municipal bond attorneys, underwriters and financial advisors from performing or facilitating any of the following activities in conjunction with local bond campaigns or ballot measures: fundraising; public opinion polling; election strategy and management; volunteer organization; get-out-the-vote services; development of campaign literature; or the production of advocacy materials. [read post]
2 Oct 2019, 2:26 pm
Booth was also a financial advisor registered with the investment advisory and brokerage firm LPL Financial LLC, a firm that is registered with the SEC and the Financial Industry Regulatory Authority (FINRA). [read post]
23 May 2019, 7:47 am
According to FINRA Disciplinary actions for May 2019, 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 Bang, Gregory NYLife Securities LLC Bishop, Tywan Charles Schwab & Co, Inc ETrade Block, Gabriel First Standard Financial Company LLC… [read post]
29 Nov 2017, 3:33 pm
Guttman was a financial advisor and a registered representative of United Planners Financial Services of America from 2001 to October 2017. [read post]
3 Sep 2020, 8:21 am
Daniel Motherway National Securities Corporation UBS Financial Services, Inc. [read post]
9 Sep 2024, 3:07 am
He joined the company in 2016 as Vice President of Finance, bringing a strong financial analysis and strategic planning background. [read post]
19 Sep 2016, 7:58 am
As a matter of law, the HQE must have at least a thirty-day break in service between any federal or uniformed service and appointment as an HQE. [read post]
7 Jul 2022, 2:20 am
The financial impacts were also devastating for many families. [read post]
31 Dec 2019, 2:00 am
Business Operations, HR, and Financial Services 5. [read post]
21 May 2014, 6:36 am
” According to the Investment News survey, the top ten independent broker-dealers with the most growth from alternative investments include: (1) Independent Financial Group; (2) Triad Advisors; (3) Royal Alliance Associates; (4) National Planning Corp.; (5) First Allied Securities; (6) Lincoln Financial Network; (7) Cambridge Investment Research; (8) Commonwealth Financial Network; (9) Ameriprise Financial Services; 10) LPL… [read post]
5 Apr 2022, 9:05 pm
Government ethics rules require panel appointees to submit financial information, a Form450 disclosure. [read post]
24 Sep 2019, 2:00 am
Too many companies rely on a one-dimensional, manager-driven approach to celebrating service anniversaries and career milestones. [read post]
23 Jul 2021, 6:06 am
Barber (UC Davis), Wei Jiang (Columbia), and Adair Morse (UC Berkeley), on Monday, July 19, 2021 Tags: COVID-19, Diversity, Labor markets, Shocks, Stakeholders, Surveys Putting the F into ESG—The Importance of Financial Materiality in ESG Investing Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Monday, July 19, 2021 Tags: ESG, Institutional Investors, Long-Term… [read post]
15 Sep 2013, 4:51 am
He has served as legal counsel and as a key business and financial advisor to Indian tribes since 1983. [read post]
21 Dec 2020, 11:18 am
However, state TNC statutes do vary as to whether drivers that utilize application-based platforms to deliver goods or services (such as food) can satisfy their financial responsibility requirements through the surplus lines market. [read post]
30 May 2018, 8:42 am
The individual can simply order his or her financial advisor to transfer a portion of the money in his or her current IRA to a new account in the name of his or her (soon to be ex) spouse. [read post]
