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25 Aug 2017, 8:15 pm
” When making your financial, tax and estate plans, do not go it alone. [read post]
23 Aug 2017, 11:55 am
The five firms are: Cetera Investment Services, Cetera Financial Specialists, First Allied Securities Inc., Summit Brokerage Services Inc., and Girard Securities Inc. [read post]
22 Aug 2017, 7:41 pm
Seeking advice from your estate planning attorney and financial advisor can help you make the best decision for your situation. [read post]
22 Aug 2017, 9:10 am
The next section provides such information for the last Trust in the series, which was created shortly before the 2008 financial crisis. [read post]
22 Aug 2017, 6:46 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]
22 Aug 2017, 2:01 am
In the second blog of the series, I dove deeper into the first step of the process, engaging a financial advisor and drafting the engagement letter. [read post]
21 Aug 2017, 12:39 pm
” According to the Commission, Stifel failed to adopt or implement policies or procedures to disclose this information to financial advisors or its clients. [read post]
18 Aug 2017, 10:00 am
Friends, family and other professional advisors are trustworthy sources. [read post]
18 Aug 2017, 8:55 am
On August 20, new pay-to-play regulations of the Financial Industry Regulatory Authority (FINRA) take effect. [read post]
16 Aug 2017, 12:35 pm
According to the complaint, the traders profited on market-moving news related to 30 impending corporate deals from October 2014 to April 2017.The SEC’s complaint alleges that Rivas frequently tipped his girlfriend’s father, James Moodhe, who traded on the information and used coded conversations and in-person meetings to relay the tips to his friend, Michael Siva, a financial advisor at a brokerage firm. [read post]
15 Aug 2017, 1:33 pm
The first provision expands the definition of a fiduciary by including financial advisers to client retirement accounts (this does not really change the law as to investment advisors). [read post]
15 Aug 2017, 1:33 pm
The first provision expands the definition of a fiduciary by including financial advisers to client retirement accounts (this does not really change the law as to investment advisors). [read post]
15 Aug 2017, 1:33 pm
The first provision expands the definition of a fiduciary by including financial advisers to client retirement accounts (this does not really change the law as to investment advisors). [read post]
15 Aug 2017, 8:46 am
Your Loved Ones Will Be Grateful Financial advisors will suggest having a will, but many people try to ignore this obligation. [read post]
10 Aug 2017, 9:30 pm
Attorney General sent a letter to the Centers for Medicare and Medicaid Services (CMS) asking CMS to cancel a proposed rule intended to rescind an earlier rule disallowing “pre-dispute arbitration clauses in long-term care facility arrangements. [read post]
10 Aug 2017, 12:44 pm
Those with financial means can afford the best representation. [read post]
10 Aug 2017, 9:26 am
FINRA Sanctions MSI Financial Services for Customer Overcharges According to FINRA, on May 12, 2017, MSI Financial Services Inc. [read post]
10 Aug 2017, 3:00 am
Friends, family and other professional advisors are trustworthy sources. [read post]
8 Aug 2017, 7:43 am
According to FINRA BrokerCheck, Wanner served as a general securities representative at Questar, doing business under the trade name Precision Financial Services, from December 2012 until he was discharged in December 2015 following a cease and desist order issued by the North Dakota Securities Department. [read post]
7 Aug 2017, 3:00 am
Friends, family and other professional advisors are trustworthy sources. [read post]
