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6 Nov 2023, 11:00 am
(CRD#:15296), Southfield, MIB, 07/31/2003 – 09/08/2016, VALIC FINANCIAL ADVISORS, INC. [read post]
6 Nov 2023, 9:46 am
Previously, he was registered with The Strategic Financial Alliance, Inc. [read post]
6 Nov 2023, 7:30 am
If a Kraken customer properly reported their transactions to the IRS then they might only worried about disclosure of private financial information. [read post]
5 Nov 2023, 3:10 pm
Inadequate HIPAA Security Rule Compliance Often Triggers Painful HIPAA Penalties Following Cyber Events The $1.6 million civil monetary penalty (“CMP”) assessed against the Texas Health and Human Services Commission (“TX HHSC”) for HIPAA Security Rule and other breaches between 2013 and 2017 committed by a predecessor agency, the Department of Aging and Disability Services (“DADS”) is one of a mounting list of high dollar OCR CMPs and… [read post]
3 Nov 2023, 10:39 am
This could include providing investment advice, portfolio management, or financial planning services. [read post]
3 Nov 2023, 10:37 am
Malecki will draw on her experience as the founder of one of the few woman-led Manhattan-based securities law firms and her nearly thirty-five years of securities industry practice at a time when women are still struggling with pay discrepancies and disparities within the financial services industry. [read post]
2 Nov 2023, 2:43 pm
CPAs and other financial advisors may also be involved. [read post]
2 Nov 2023, 9:04 am
For questions about these new rules, the CTA, or customer due diligence and beneficial ownership rules more generally, contact the authors of this article or another member of the McGuireWoods Government Investigations and White Collar team, Financial Services Litigation team, Tax & Employment Benefits team, or the Corporate & Private Equity team. [read post]
2 Nov 2023, 6:55 am
His previous employers include Wells Fargo Advisors, LLC (CRD# 19616) of Hallandale, FL, UBS Financial Services Inc. [read post]
2 Nov 2023, 2:30 am
Beth Christensen “I was tired of struggling financially,” said Christensen. [read post]
1 Nov 2023, 10:57 am
(CRD#:5685), CHARLOTTE, NC,B, 06/20/2014 – 11/16/2018, MADISON AVENUE SECURITIES, LLC (CRD#:23224), CLOVER, SCB, 10/28/2005 – 06/18/2014, ALLSTATE FINANCIAL SERVICES, LLC (CRD#:18272), ROCK HILL, SC The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA. [read post]
1 Nov 2023, 7:20 am
Barclays served as Morae’s Financial Advisor for the deal, with Haynes and Boone, LLP acting as Lead Counsel. [read post]
1 Nov 2023, 5:49 am
Encourage seniors to use trusted financial advisors. [read post]
1 Nov 2023, 3:15 am
I blogged in May that a Tennessee court had dismissed a lawsuit filed by the US Chamber of Commerce and the Business Roundtable that challenged the SEC’s decision to reverse parts of its 2020 rulemaking on proxy advisors. [read post]
31 Oct 2023, 2:25 am
</strong> appeared first on HR Daily Advisor. [read post]
30 Oct 2023, 6:39 pm
Based on the authority the President's advisors read into the Deference Production Act, the Executive Order will require substantial testing and administrative supervision of AI programs. [read post]
30 Oct 2023, 1:15 pm
According to the SEC’s order, in many of BIT’s annual and semi-annual reports that were publicly available to investors and filed with the SEC, BlackRock inaccurately described Aviron as a “Diversified Financial Services” company. [read post]
30 Oct 2023, 11:26 am
This case serves as an example of art potentially being sold to settle legal fees, as Schiff’s attorney and the attorney overseeing creditor claims clash over the sale of artworks to address her financial obligations amid legal proceedings related to her art advisory business’s downfall.[8] Disputes such as this also can come with additional complexities, putting legal advisors in the position to consider the risk of how such transactions could impact the value and… [read post]
27 Oct 2023, 10:41 am
If investors have disputes with their brokers or financial firms, they can use FINRA’s arbitration and mediation services to seek resolution. [read post]
27 Oct 2023, 5:38 am
You should also consult with a financial advisor to get personalized advice about whether or not LTC insurance is right for you.The post Long-Term Care Insurance: Is It Right for You? [read post]
