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8 May 2024, 2:26 pm
The behavioral economics field gives us principles that suggest the loss of social security benefits will yield strong emotional and/or litigious responses, with the potential for carry-over into the private pension sphere.[7] To summarize why this is likely to occur: (1) individuals—using the status quo as their reference point—tend to view change as either a gain or a loss from the status quo; (2) “[s]ince losses loom larger [people feel them more… [read post]
7 May 2024, 7:35 am
(formerly Royal Alliance Associates), SagePoint Financial, Inc., and Woodbury Financial Services, failed to obtain verification by an independent public accountant of client funds and securities they had custody of due to agreements with a clearing firm. [read post]
2 May 2024, 12:35 pm
He was affiliated with firms like RBC Capital Markets, UBS Financial Services Inc., and Citigroup Global Markets Inc. [read post]
1 May 2024, 1:18 pm
Department of Health and Human Services, Office of Inspector General, regarding the illegality of [similar] swapping schemes under the AKS. [read post]
1 May 2024, 12:08 pm
One of Tesla’s highest-ranking female executives, she spoke at the company’s Investor Day in March 2023. [read post]
29 Apr 2024, 1:40 pm
FINRA BrokerCheck Report – Andrew Egber According to this FINRA BrokerCheck report, Andrew Egber was affiliated with the following fir ms during his career, among others: 05/27/2022 – 04/18/2024, STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC (CRD#:1254), BETHESDA, MD, B, 01/12/2018 – 05/27/2022, RAYMOND JAMES FINANCIAL SERVICES, INC. [read post]
28 Apr 2024, 8:35 am
In January 2024, a Singaporean investor filed a report with the U.S. [read post]
25 Apr 2024, 12:48 pm
Consultancy, Inc.; Joseph P. [read post]
22 Apr 2024, 1:15 pm
LPL Financial LLC Wells Fargo Clearing Services, LLC Chun Elmejjad Equitable Advisors, LLC AXA Advisors, LLC Jonathan Gervaise Jackson National Life Distributors LLC Pruco Securities, LLC Jonathan Long Cambridge Investment Research, Inc. [read post]
22 Apr 2024, 12:35 pm
Mitchell Roby Wells Fargo Clearing Services, LLC Raymond James Financial Services, Inc. [read post]
22 Apr 2024, 4:28 am
Schwartzman, Inc. v Pliskin, Rubano, Baum & Vitulli, 215 AD3d 699, 702). [read post]
20 Apr 2024, 9:10 am
District Court judge on Friday sentenced a former Silicon Valley tech entrepreneur to serve 1½ years in federal prison for duping investors into backing a software-as-a-service company he founded, according to authorities. [read post]
19 Apr 2024, 2:04 pm
RBC Dain Rauscher Inc. [read post]
19 Apr 2024, 1:43 pm
., Inc. [read post]
19 Apr 2024, 1:34 pm
Key Investment Services LLC Shaquane Smith-Thompson J.P. [read post]
19 Apr 2024, 1:23 pm
Lincoln Investment Ameriprise Financial Services, Inc. [read post]
19 Apr 2024, 9:27 am
Ripple Labs Inc. [read post]
17 Apr 2024, 10:19 am
Finally, SAFETY Act protection can prove highly valuable in other contexts where the safety and security of a company’s products, services, or operations is scrutinized— whether by regulators, investors, customers, or jurors. [read post]
12 Apr 2024, 11:27 am
Key Investment Services LLC (KIS) and KeyBanc Capital Markets Inc. agreed to pay a $10 million penalty. [read post]
12 Apr 2024, 6:30 am
Wagner (University of Zurich), on Thursday, April 11, 2024 Tags: Asset management, carbon emissions, climate risk, Green energy, Green Investors, Mutual funds AI Governance Appears on Corporate Radar Posted by Subodh Mishra, Institutional Shareholder Services Inc., on Thursday, April 11, 2024 Tags: AI, Artificial intelligence, boards, directors, ISS-Corporate, S&P 500 [read post]
