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10 Feb 2016, 3:09 pm
Private companies do not have special access to these free consumer complaint resources.Requests for secrecy — Never allow anyone to discourage you from seeking information, support, and advice from family members, friends, or trusted advisors before making a financial transaction.How do I get help? [read post]
9 Feb 2016, 4:39 am
“As the financial services industry continues to rapidly evolve, some in Congress have used budget limitations to hamper the agencies charged with establishing and enforcing the rules of the road. [read post]
8 Feb 2016, 4:27 pm
Friends, family and other professional advisors are trustworthy sources. [read post]
6 Feb 2016, 11:43 am
According to InvestmentNews, only about 12% of financial advisors have any type of disclosure event on their records. [read post]
5 Feb 2016, 6:15 am
., Sunset Financial Services, Inc., Jesup & Lamont Securities Corp., and Capital Guardian, LLC. [read post]
4 Feb 2016, 2:26 pm
” Ultimately, there will be a continued focus on elder abuse an exploitation in the financial services industry this year and into the foreseeable future. [read post]
3 Feb 2016, 6:36 pm
Friends, family and other professional advisors are trustworthy sources. [read post]
3 Feb 2016, 10:42 am
Because the regulations were not in effect during the 2008 financial crisis the effects of the rule have not been tested under distressed market conditions. [read post]
2 Feb 2016, 2:59 pm
According to FINRA, Jeffrey Davidson (CRD# 1352867), an investment advisor with American Portfolios Financial Services since 2009, recently entered into a Letter of Acceptance Waiver and Consent (AWC) to settle allegations that he violated numerous industry rules and regulations. [read post]
2 Feb 2016, 6:36 am
According to FINRA, Dennis Van Patter (CRD# 1364583), a financial advisor registered with VSR Financial in Plano, Texas since 1997, recently entered into a Letter of Acceptance Waiver and Consent (AWC) to resolve allegations that he violated numerous NASD and FINRA rules by recommending investments that were not suitable for his customer. [read post]
30 Jan 2016, 12:29 pm
From May 2004, until March 2012, Zimmerman was associated with Liberty Partners Financial Services, LLC. [read post]
29 Jan 2016, 9:01 am
One of the main issues facing financial advisors who sell funds and master-limited partnerships is suitability. [read post]
29 Jan 2016, 7:49 am
The same principle applies to the range of the community groups you might speak to; for me, this has included immigrant settlement groups, public school teachers, my local libraries, battered women’s groups, law librarians, financial advisors, family and youth support groups, family justice counsellors, LGBTTQ groups and so on. [read post]
28 Jan 2016, 2:56 pm
According to InvestmentNews, only about 12% of financial advisors have any type of disclosure event on their records. [read post]
26 Jan 2016, 9:29 am
VFG maintained a website which claimed that Voyager “is a national distributor, broker, and consulting firm for a diverse array of products, services, and contracts in the financial services arena. [read post]
26 Jan 2016, 9:09 am
The WIOA discrimination and equal opportunity rules apply to recipients of financial assistance under Title I of WIOA and to program partners at American Job Centers that offer programs or activities through the workforce development system including partners that conduct related programs or activities through the One-Stop delivery system such as Unemployment Insurance, Temporary Assistance for Needy Families, adult education, Trade Adjustment Assistance, and others. [read post]
26 Jan 2016, 6:05 am
Financial advisors and stockbrokers are under the obligation to make only suitable recommendations to their customers. [read post]
25 Jan 2016, 3:20 pm
Friends, family and other professional advisors are trustworthy sources. [read post]
25 Jan 2016, 8:55 am
Jonas (Capstone Valuation Advisors), the Collier County market. [read post]
25 Jan 2016, 5:02 am
appeared first on Washington Workers' Advisor. [read post]
