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21 Feb 2018, 12:00 pm
Only a few months after withdrawing from the Protocol, UBS Financial Services is requiring brokers waiting for their 2017 bonuses to sign agreements that open them to lawsuits and arbitration complaints if they try to contact former clients within 12 months of leaving the U.S. broker-dealer unit of the Swiss bank.UBS slipped the provision into the bonus agreement, without advising their brokers of this significant and dramatic change in the relationship. [read post]
20 Feb 2018, 3:29 am
She has nearly 30 years’ experience as a writer/editor of financial services news. [read post]
20 Feb 2018, 3:29 am
She has nearly 30 years’ experience as a writer/editor of financial services news. [read post]
19 Feb 2018, 3:10 am
The post Economic Boost Gives Employers the Opportunity to Invest in Workforce, Correct Pay Inequities appeared first on HR Daily Advisor. [read post]
19 Feb 2018, 3:10 am
The post Economic Boost Gives Employers the Opportunity to Invest in Workforce, Correct Pay Inequities appeared first on HR Daily Advisor. [read post]
17 Feb 2018, 12:57 pm
Recently a financial advisor I know had this happen to her where the senior lawyer to whom she’d referred many clients sent an understudy to a meeting with the clients to whom she’d recommended this lawyer. [read post]
17 Feb 2018, 12:00 am
Whether you handle your own financial advice, or you think you aren’t paying for financial advice (hint: you are), or you’re working with an advisor…the question remains: Is Your Financial Advisor Worth The Cost? [read post]
16 Feb 2018, 1:08 pm
The post NY Advisor Brian M. [read post]
16 Feb 2018, 3:43 am
The post Private Equity CFOs Rank Operational Efficiency as Top Priority, but Take Varied Approaches to Achieve It appeared first on HR Daily Advisor. [read post]
16 Feb 2018, 3:43 am
The post Private Equity CFOs Rank Operational Efficiency as Top Priority, but Take Varied Approaches to Achieve It appeared first on HR Daily Advisor. [read post]
16 Feb 2018, 3:00 am
This often leads to less responsive and less comprehensive service, as the firm’s larger (and more profitable) clients receive more attention. [read post]
15 Feb 2018, 9:36 am
Maczko first became associated with a FINRA member firm in 1988 as a general securities representative under the employ of UBS Financial Services Inc. [read post]
15 Feb 2018, 3:15 am
In 2005, Alice partnered with “Parker,” a senior financial adviser, to service a variety of client accounts. [read post]
15 Feb 2018, 3:15 am
In 2005, Alice partnered with “Parker,” a senior financial adviser, to service a variety of client accounts. [read post]
14 Feb 2018, 2:57 pm
The petitioner/defendant in Kokesh was an investment advisor who provided advice to business-development companies. [read post]
14 Feb 2018, 10:37 am
Riquier According to the Gloucester Times, Financial Advisor Thomas T. [read post]
14 Feb 2018, 3:00 am
If an advisor claims that her services are free or that you don’t pay her, ask how she’s able to run her business, if clients don’t pay and services are simply given away. [read post]
13 Feb 2018, 3:35 am
Director pay is continuing to get additional attention from the proxy advisors and the plaintiff’s bar. [read post]
12 Feb 2018, 8:37 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including compliance with federal and state laws and rules. [read post]
12 Feb 2018, 6:54 am
OCIE specifically stated that it will focus on the disclosure of investment fees and other compensation received by financial professionals; electronic investment advisors – sometimes known as “robo-advisors”; wrap fee programs in which investors are charged a single fee for bundled services; and never-before-examined investment advisors. [read post]
