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3 Oct 2017, 4:00 am
To gain the necessary economies of scale, support services methods are used in all other forms of the manufacture of goods and services. [read post]
2 Oct 2017, 6:54 am
Service advisors still not exempt. [read post]
1 Oct 2017, 9:30 pm
In the future, such “robo advisors” will do even more—recommending mortgages, credit cards, and other financial services to more individuals, all with increasing technical sophistication. [read post]
29 Sep 2017, 12:26 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Peter Butler (Butler), in January 2017, was terminated by his firm Ameriprise Financial Services, Inc. [read post]
29 Sep 2017, 6:34 am
Securities and Exchange Commission, on Tuesday, September 26, 2017 Tags: Broker-dealers, Capital formation, Compensation ratios, Cybersecurity, Disclosure, EDGAR, Financial technology, Investment advisers, Oversight, SEC, SEC enforcement, Securities enforcement, Securities regulation CEOs and ISS’ Proxy Contest Framework Posted by Institutional Shareholder Services, Inc., on Wednesday, September… [read post]
28 Sep 2017, 9:38 am
Earlier in her career, she was Director of Law Firm Services and Director of Client Advisory Services for two mid-sized CPA firms. [read post]
27 Sep 2017, 9:00 pm
According to the first of two complaints which were unsealed earlier this week, these coaches took bribes from athlete advisors – including business managers and financial advisors to professional atheletes – in exchange for convincing promising college players “under their control” to retain the services of the bribers. [read post]
27 Sep 2017, 11:47 am
The Comfort, a Navy hospital ship with 1,000 beds, will leave for San Juan by Friday to provide medical services for thousands of patients in hospitals without power. [read post]
26 Sep 2017, 11:35 pm
I won’t say that legal aid bills have never been padded by financially strapped legal aid lawyers. [read post]
25 Sep 2017, 10:00 am
Friends, family and other professional advisors are trustworthy sources. [read post]
24 Sep 2017, 7:33 am
His disclosures list ownership of Wyman and Shier Financial Services and do not disclose involvement in other outside businesses. [read post]
20 Sep 2017, 9:34 pm
Every now and then, it’s fun to take a story prominent in the day’s headlines and unearth the Professional Responsibility issues that may quietly be driving the plot. [read post]
20 Sep 2017, 12:47 pm
The fiduciary has the authority the obtain the services of professionals such as attorneys, accountants and investment advisors to help with the various tasks regarding settlement of the estate.While the Executor can be anyone that the testator trusts and has confidence in to perform fiduciary duties, there are certain provisions of the New York Estate laws that provide general requirements. [read post]
20 Sep 2017, 6:26 am
From 2002 through December 2009 Magarelli was associated with Amerirpirse Financial Services, Inc. [read post]
20 Sep 2017, 6:25 am
According to newsources, only about 7.3% of financial advisors have any type of disclosure event on their records among brokers employed from 2005 to 2015. [read post]
20 Sep 2017, 6:25 am
According to newsources, only about 7.3% of financial advisors have any type of disclosure event on their records among brokers employed from 2005 to 2015. [read post]
19 Sep 2017, 10:00 am
Friends, family and other professional advisors are trustworthy sources. [read post]
18 Sep 2017, 11:19 am
” When making your financial, tax and estate plans, do not go it alone. [read post]
17 Sep 2017, 7:30 pm
The Company helps meet the growing demand for private education loans by providing national and regional financial institutions and educational institutions, as well as businesses and other enterprises, with an integrated suite of design, implementation and securitization services for student loan programs tailored to meet the needs of their respective customers, students, employees and members. [read post]
15 Sep 2017, 7:58 am
Let’s look at the math: In its 2015 study of consumer arbitration, the CFPB examined a total of 1847 consumer financial services arbitrations administered by the American Arbitration Association filed between 2010 and 2012. [read post]
