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16 Sep 2016, 8:28 am
Today, GC is trusted advisor to CEO. [read post]
16 Sep 2016, 6:45 am
From April 2008 until September 2010 Muirhead was registered with Princor Financial Services Corporation. [read post]
14 Sep 2016, 7:39 am
Cruz said that the government’s plan is to focus on paying for “essential services,” and that the financial control board could amend the current FY17 budget to include bond payments. [read post]
13 Sep 2016, 6:58 pm
Friends, family and other professional advisors are trustworthy sources. [read post]
13 Sep 2016, 1:12 am
The life settlement industry is no different, and for years it has relied on the financial services industry to help promote our message and value proposition. [read post]
12 Sep 2016, 10:14 am
In February 2015, Laubach was terminated by Ameriprise Financial Services, Inc. [read post]
12 Sep 2016, 8:33 am
As a matter of law, the HQE must have at least a thirty-day break in service between any federal or uniformed service and appointment as an HQE. [read post]
9 Sep 2016, 12:28 pm
It noted that service via facsimile was neither specifically authorized nor prohibited, but held that “[a]ctual and timely service defeats any claim that service was not in accordance with the Rules. [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]
8 Sep 2016, 10:45 am
Without this information, the firms’ financial advisors were 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]
7 Sep 2016, 11:38 am
Nevertheless, proponents argue that it lowers the cost of providing consumer products and services. [read post]
7 Sep 2016, 4:12 am
Friends, family and other professional advisors are trustworthy sources. [read post]
6 Sep 2016, 7:53 am
Customers have recently filed about five complaints with the Financial Industry Regulatory Authority’s (FINRA) against broker Bradley Ross (Ross), a registered representative with UBS Financial Services Inc. [read post]
6 Sep 2016, 7:53 am
According to InvestmentNews, only about 12% of financial advisors have any type of disclosure event on their records. [read post]
4 Sep 2016, 4:48 pm
The FBI, DSS and the Secret Service investigated the case. [read post]
2 Sep 2016, 3:00 pm
Friends, family and other professional advisors are trustworthy sources. [read post]
31 Aug 2016, 7:59 am
., he began attending Christian church services and contemplated converting from Islam to Christianity. [read post]
31 Aug 2016, 6:00 am
However, the financial statements failed to disclose that the accrued interest would be allocated solely to Apollo Advisor VI’s capital account, meaning that Apollo Advisor VI was effectively paying interest to itself. [read post]
29 Aug 2016, 9:03 pm
Friends, family and other professional advisors are trustworthy sources. [read post]
29 Aug 2016, 4:00 am
Department of Labor (DOL) issued a new rule – generally referred to as the fiduciary rule*– which seeks to protect workers’ saving and investments for retirement by mandating that their financial advisers act in a fiduciary capacity when providing financial advice for retirement purposes. [read post]
