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13 Oct 2016, 8:42 pm
Friends, family and other professional advisors are trustworthy sources. [read post]
13 Oct 2016, 7:31 am
In the fiscal year that ended Sept. 30, the SEC filed 868 enforcement actions against various players in the financial-services sector, including 258 cases against investment advisers or companies. [read post]
12 Oct 2016, 5:01 am
Their insurance broker has a lot of initials, so does their financial advisor. [read post]
9 Oct 2016, 7:47 pm
The Fine Line to the Double-Edged Sword Advisors and bankers walk a fine line in pitching services to potential sellers. [read post]
8 Oct 2016, 9:26 am
The Congressional-Executive Commission on China was created by the U.S. [read post]
7 Oct 2016, 8:19 am
According to FINRA BrokerCheck, Mickey Long was registered with VSR Financial Services in Plano, Texas from 06/2002 – 07/2016. [read post]
7 Oct 2016, 6:01 am
Schwarcz, Duke University School of Law, on Tuesday, October 4, 2016 Tags: Banks, Capital markets, Credit risk, Credit supply, Debt securities, Financial crisis, Financial regulation, Housing market, Liquidity, Mortgage lending, Subprime securities, Systemic risk The Investors’ Exchange Posted by Kevin J. [read post]
5 Oct 2016, 10:44 am
One ticket has a clear, compelling record of support for animal protection, while the other has assembled a team of advisors and financial supporters tied in with trophy hunting, puppy mills, factory farming, horse slaughter, and other abusive industries. [read post]
5 Oct 2016, 8:11 am
This account draws on recent press reports and the testimony of Obama administration officials and others at September hearings before the House Financial Services Committee and the Senate Committee on Banking, Housing, and Urban Affairs. [read post]
4 Oct 2016, 4:49 pm
According to InvestmentNews, only about 12% of financial advisors have any type of disclosure event on their records. [read post]
4 Oct 2016, 4:49 pm
According to InvestmentNews, only about 12% of financial advisors have any type of disclosure event on their records. [read post]
3 Oct 2016, 9:10 am
You have been reading the financial headlines (or this blog) I see. [read post]
2 Oct 2016, 5:51 am
From April 2011 through June 2014 Klaass was registered with Signator Financial Services, Inc. [read post]
2 Oct 2016, 5:51 am
From April 2011 through June 2014 Klaass was registered with Signator Financial Services, Inc. [read post]
30 Sep 2016, 6:09 am
Securities and Exchange Commission, on Friday, September 23, 2016 Tags: Anti-corruption, Asset management, Cross-border transactions, Cybersecurity, Disclosure, Exchange-traded funds,FCPA, International governance, Liquidity, Mutual funds, Oversight, SEC, SEC enforcement, Securities enforcement,Securities regulation NYDFS Proposed Cybersecurity Regulation for Financial Services Companies Posted by Joseph Vitale, Schulte Roth & Zabel LLP, on Saturday, September 24, 2016 … [read post]
29 Sep 2016, 12:38 pm
UBS Financial Services paid more than $15 million to settle Securities and Exchange Commission charges that it improperly sold risky, complex products to investors, the agency announced on Wednesday. [read post]
29 Sep 2016, 7:19 am
Mishkin The Securities and Exchange Commission has announced that it will host a public forum in Washington, D.C. on November 14, 2016 to discuss financial technology innovation in the financial services industry. [read post]
28 Sep 2016, 2:08 pm
The SEC detected the misconduct while proactively scrutinizing the way that financial services firms were obtaining investments from sovereign wealth funds overseas. [read post]
28 Sep 2016, 8:17 am
The Securities and Exchange Commission today announced that UBS Financial Services has agreed to pay more than $15 million to settle charges that it failed to adequately educate and train its sales force about critical aspects of certain complex financial products it sold to retail investors. [read post]
27 Sep 2016, 2:14 pm
The Securities and Exchange Commission today announced it will host a public forum to discuss financial technology (Fintech) innovation in the financial services industry. [read post]
