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12 Jan 2018, 8:51 am
Wells Fargo Advisors, LLC Manuel Tomas Paredes Worden Capital Management LLC Spartan Capital Securities, LLC Phillip Eugene Pistilli Joseph Stone Capital LLC Spartan Capital Securities, LLC Charles Courtney Sandoval Allstate Financial Services, LLC SII Investments, Inc. [read post]
3 May 2018, 1:49 pm
He is not currently registered as a broker, investment advisor or other financial services professional, and no current employment information is available. [read post]
6 Nov 2015, 4:50 pm
Authored by attorneys David Johnson and Joseph Regan, the blog, in their own words, “provides important legal news, updates on recently decided and pending case precedent, and commentary to directors, officers, managers, in-house counsel, trust officers, and wealth advisors who work for financial institutions that serve in fiduciary roles, as well as attorneys and court personnel who provide legal services in the fiduciary area. [read post]
16 Oct 2011, 8:33 am
This is an interesting case that should be read by those engaged in financial services as it discussed, albeit briefly, certain unique features of portions of this sector, notably, "proprietary interests arising from internal relations between Investment Advisors. [read post]
25 Jan 2022, 3:30 am
Chair Gensler’s speech also addressed cybersecurity regulatory initiatives addressing broker-dealers, investment advisors, mutual funds and other participants in the financial sector – as well as service providers to those businesses. [read post]
4 Sep 2016, 4:48 pm
The FBI, DSS and the Secret Service investigated the case. [read post]
12 Mar 2014, 12:07 pm
Daniel Dodd-Ramirez has joined the CFPB as the Assistant Director of Financial Empowerment in the Bureau’s Consumer Education and Engagement Division. [read post]
4 Apr 2012, 3:38 pm
Other settlements that are expected to top $100 million include Lehman Brothers Holdings Inc; Motorola Solutions Inc.; National City Corp., a bank now owned by PNC Financial Services Group Inc.; and Apollo Group Inc., a for-profit education company. [read post]
27 Nov 2012, 3:00 am
You will want to consult with your estate attorney, financial advisor and, certainly, your CPA to ensure you squeeze every penny out of your charitable tax deduction, too. [read post]
11 Mar 2020, 6:01 am
Posted by Sean Collins and Kristen Sullivan, Deloitte LLP, on Wednesday, March 11, 2020 Editor's Note: Sean Collins is a manager at the Deloitte Center for Financial Services, and Kristen Sullivan is an Audit and Assurance partner at Deloitte & Touche LLP. [read post]
6 Apr 2011, 1:23 pm
So if you have any concerns about how you are classifying workers, then take a time-out and consult with your tax advisor. [read post]
22 Apr 2011, 7:00 am
According to court documents, DeMiro was an investment adviser to various municipalities, credit unions, school districts, and trade unions through his Southfield-based companies MuniVest Financial Group and MuniVest Services LLC. [read post]
15 Mar 2012, 9:31 am
Viterra has engaged financial and legal advisors to provide support with this process. [read post]
9 Sep 2016, 9:56 am
Without this information, the firms’ financial advisors were reportedly unable to provide the magnitude of these costs to clients and did not consider these commissions when determining whether the sub-advisers or the wrap fee programs were suitable for clients, leaving certain clients unaware they were paying additional costs beyond the single wrap fee they paid for bundled investment services. [read post]
31 Aug 2011, 3:05 pm
In 2001, she took a position as an Attorney Advisor for the United States Department of Commerce, where she now serves as the Deputy Chief of the General Law Division. [read post]
20 Mar 2015, 5:53 pm
According to BrokerCheck Faher worked in Michigan with Fifth Third Securities from 03/2004 – 02/2011, and W R Rice Financial Services from 03/2011 – 11/2012. [read post]
6 Dec 2010, 11:19 am
Please seek the advice or counsel of your attorney, financial advisor or CPA as it may be appropriate. [read post]
1 May 2013, 11:00 am
The key teaching point is to engage the professional services of your accountant, financial advisor and attorney sooner rather than later. [read post]
6 Mar 2011, 1:52 pm
Kobayashi's alleged scheme began in 2004, while he was an adviser at UBS Financial Services, Inc., when he convinced several clients to invest in a pooled fund that was used to make viatical investments. [read post]
3 Nov 2009, 6:46 am
Please seek the advice or counsel of your attorney, financial advisor or CPA as it may be appropriate. [read post]
