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26 Aug 2016, 8:36 am
This document is for informational purposes only and is not intended to be an offer, solicitation, recommendation with respect to the purchase or sale of any financial investment/ security or a recommendation of the services supplied by any money management organization neither an investment advice or legal opinion. [read post]
25 Aug 2016, 9:02 am
* * *SEC Orders and PenaltiesAssetMark – $500,000BB&T Securities – $200,000Banyan Partners – $200,000Congress Wealth Management – $100,000Constellation Wealth Advisors – $100,000Executive Monetary Management – $100,000HT Partners – $100,000Hilliard Lyons – $200,000Ladenburg Thalmann Asset Management – $200,000Prospera Financial Services – $100,000Risk Paradigm Group –… [read post]
23 Aug 2016, 5:29 pm
(Pix © Larry Catá Backer 2016)Philip G. [read post]
23 Aug 2016, 1:33 pm
Friends, family and other professional advisors are trustworthy sources. [read post]
23 Aug 2016, 12:00 am
We offer a free initial consultation to military service members and their families who feel they may have been victimized by a financial advisor. [read post]
18 Aug 2016, 5:00 am
If the trust has significant investment assets, it is strongly advisable that you hire an experienced financial advisor to assist you in the proper management of those assets. [read post]
17 Aug 2016, 3:48 pm
Friends, family and other professional advisors are trustworthy sources. [read post]
15 Aug 2016, 4:31 pm
I proceeded to take every civil service test for which I qualified and landed at the NY State Insurance Fund. [read post]
15 Aug 2016, 3:08 pm
Heath was previously employed and registered by AXA Advisors, LLC from December 2008 to December 2012, and employed by VALIC Investment Services Company from September 1990 to December 2008. [read post]
10 Aug 2016, 1:27 pm
Department of Health & Human Services Office for Civil Rights, Fact Sheet: Ransomware and HIPAA, HHS.gov (July 11, 2016) (available at http://www.hhs.gov/sites/default/files/RansomwareFactSheet.pdf). [read post]
10 Aug 2016, 1:01 pm
Churchville worked in the securities industry for sixteen years, he was also financial advisor with Spire Securities in Providence, RI. from 08/2009 – 02/2011. [read post]
8 Aug 2016, 10:25 am
Friends, family and other professional advisors are trustworthy sources. [read post]
5 Aug 2016, 11:14 am
They also generate astronomical fees, which may cause unscrupulous financial advisors looking to maximize their own commissions to recommend them improperly. [read post]
4 Aug 2016, 12:09 pm
Believing that his acquaintance had reached Syria, Young purchased and sent him gift cards for mobile messaging services used by ISIS to recruit. [read post]
3 Aug 2016, 2:30 pm
Margiotta was employed by UBS Financial Services Inc. from October 2008 to June 2015, and with Citigroup Global Markets Inc. from December 2003 to November 2008, as well as other prior firms. [read post]
3 Aug 2016, 1:39 pm
They understand global trends will ultimately reward companies that successfully balance their natural, social, and financial capitals, and that companies that fail to adapt to these global trends risk becoming irrelevant. [read post]
3 Aug 2016, 9:12 am
Bernard Financial Services, Kuettel purportedly engaged in private securities transactions whereby he assisted 11 investors, three of whom were St. [read post]
3 Aug 2016, 5:25 am
Andrew Todd Yocum, formerly of Morgan Stanley, The Villages, FL and Summit Brokerage Services, Lady Lake, FL has been subject to seventeen customer complaints since May 19th, 2015, according to Broker Check by the Financial Industry Regulatory Authority (FINRA). [read post]
2 Aug 2016, 8:21 am
This second certification will effectively prevent municipal bond attorneys, underwriters and financial advisors from performing or facilitating any of the following activities in conjunction with local bond campaigns or ballot measures: fundraising; public opinion polling; election strategy and management; volunteer organization; get-out-the-vote services; development of campaign literature; or the production of advocacy materials. [read post]
2 Aug 2016, 8:21 am
This second certification will effectively prevent municipal bond attorneys, underwriters and financial advisors from performing or facilitating any of the following activities in conjunction with local bond campaigns or ballot measures: fundraising; public opinion polling; election strategy and management; volunteer organization; get-out-the-vote services; development of campaign literature; or the production of advocacy materials. [read post]
