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25 Dec 2014, 4:20 am
BD OPS performed all of the firm’s supervision and compliance and also provided supervisory and compliance services for another broker-dealer and its related investment advisor. [read post]
19 Oct 2021, 9:41 am
Cynthia Komarek (CRD#: 1188714, aka (Cynthia Ann Brown, Cynthia Brown-Komarek, Cynthia Brown Komarek, Cynthia Brown Pearson) is a former registered broker and investment advisor last employed with SagePoint. [read post]
30 Jun 2023, 8:53 am
Introduction In 2018 the Financial Action Task Force (FATF) published a mutual evaluation report on the UK’s AML/CTF regime. [read post]
10 Mar 2017, 4:37 am
— via Outten & Golden Employment Law Blog If workplaces want to cut back on burnout, vacation email bans may be a good start — via ABA Journal Daily News Phishing Scams Targeting HR and Payroll Are on the Rise this Tax Season — via California Employment Law Misuse of Former Employee’s Login Credentials Leads to $5.5 Million HIPAA Settlement — via HR Daily Advisor Crushin’ it: being cybersecure in… [read post]
26 Sep 2016, 8:46 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]
14 Feb 2022, 7:43 am
The recent 8-K stated that the GWG’s board of directors authorized management to retain the services of a restructuring advisor. [read post]
3 Aug 2020, 8:06 am
(CRD# 29249), Colony Park Financial Services LLC (CRD# 41534), Atlas One Financial Group, LLC (CRD# 124057), Synergy Investment Group, LLC (CRD# 46035), CIBC World Markets Corp. [read post]
23 Oct 2020, 3:00 am
National/Federal Back from the Supreme Court, House Pushes DC Circuit for Trump Financials Courthouse News Service – Megan Mineiro | Published: 10/20/2020 A three-judge panel on the District of Columbia Circuit Court of Appeals indicated there is little need for a swift ruling in the legal battle over access to President Trump’s financial records The panel previously upheld the subpoena brought by the House but considered the case for the second time… [read post]
21 Aug 2018, 5:17 am
Morgan Securities LLC Chase Investment Services Corp Joshua David Ellis LPL Financial LLC BCG Securities, Inc James Benjamin Farris Merrill Lynch, Pierce, Fenner & Smith Inc UBS Financial Services Inc Samuel LaWayne Haddix Ameriprise Financial Services, Inc IDS Life Insurance Company Mark Anthony Hernandez UBS Financial Services… [read post]
14 Feb 2014, 8:21 am
Patricia Struck, Chair-Person of the Investment Advisor Section for the North American Securities Administrators Association (NASAA) and the Administrator of the Division of Securities of the Wisconsin Department of Financial Institutions. [read post]
10 Oct 2022, 2:43 pm
Tax Expat Tax Services. [read post]
16 Jul 2023, 7:48 pm
(CRD#:23769), SCOTTSDALE, AZ, B, 09/01/2006 – 03/23/2009, SUMMIT BROKERAGE SERVICES, INC. [read post]
18 Mar 2020, 5:00 am
” In the post, KPMG touts the strength of the company’s new division as its ability to combine legal services with its existing accounting and financial operations. [read post]
11 Jun 2024, 3:05 am
The post <strong>What HR Teams Need to Know About the Dark Web</strong> appeared first on HR Daily Advisor. [read post]
4 Feb 2015, 1:32 pm
It is very common that a person who dies or is incapacitated receives health care and services that are paid for by government agencies in the form of Medicaid. [read post]
26 Aug 2020, 8:44 pm
” Tom Sugrue, one of her dissertation advisors writes that she was “quietly brilliant and deeply humane. [read post]
18 Dec 2017, 4:00 am
Tom is a financial advisor I know here in Dallas. [read post]
29 May 2012, 8:11 am
And finally there are the investment advisors and other service providers. [read post]
10 Feb 2014, 6:10 am
The buyer’s advisors must examine matters related to the corporation, real and personal property, environmental issues, potential litigation, employee matters, intellectual property, service contracts, and any obligations to be assumed by the buyer. [read post]
10 Feb 2014, 6:10 am
The buyer’s advisors must examine matters related to the corporation, real and personal property, environmental issues, potential litigation, employee matters, intellectual property, service contracts, and any obligations to be assumed by the buyer. [read post]
