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26 May 2015, 9:59 am
As we previously reported, The Financial Industry Regulatory Authority (FINRA) sanctioned and barred financial advisor Matthew Davis (Davis) concerning allegations of misconduct in several customer accounts. [read post]
21 May 2015, 11:09 am
Broker Dealer Financial Services Corp. [read post]
19 May 2015, 8:05 am
It is also no doubt a response to Thomson Reuters’ Practical Law Product and LexisNexis Practice Advisor. [read post]
19 May 2015, 7:31 am
FINRA also alleged that in 2009, Parthemer and his partner, referred to by the initials “SK”, formed PKG which purported to provide financial concierge services to professional athletes who played in the NFL and the NBA. [read post]
18 May 2015, 8:08 am
” Using his platform as an investment advisor and financial talk show host, Binkholder solicited his clients and others to invest in the hard money lending program. [read post]
18 May 2015, 3:52 am
Before making any decision or taking any action that may affect your business, you should consult a qualified legal advisor. [read post]
18 May 2015, 3:52 am
Before making any decision or taking any action that may affect your business, you should consult a qualified legal advisor. [read post]
18 May 2015, 3:52 am
Before making any decision or taking any action that may affect your business, you should consult a qualified legal advisor. [read post]
13 May 2015, 7:08 am
Currently, the fiduciary duty rule only applies to financial advisors (and brokers under certain circumstances). [read post]
5 May 2015, 2:20 pm
The Certified Financial Planner Board (CFP) recently revoked the designations of three advisors and suspended several others. [read post]
5 May 2015, 12:12 pm
In August 2011, the board began shopping the Company to potential purchasers and retained Stephens Inc., an investment bank with expertise in the transportation industry, to serve as its financial advisor. [read post]
5 May 2015, 7:02 am
Godlewski entered the securities industry in 2004, when he became associated with Allstate Financial Services, LLC (Allstate). [read post]
4 May 2015, 10:18 am
Establishment law firms, bar organizations, and blue-ribbon panels of advisors would identify their preferred nominees for judicial office. [read post]
29 Apr 2015, 4:07 pm
Recently, the Certified Financial Planner (“CFP”) Board of Standards (“Board”) took disciplinary action against 23 financial advisors, permanently revoking the CFP designation for three of those financial advisors. [read post]
28 Apr 2015, 9:30 pm
He served as my dissertation advisor at Wisconsin during the 1970s. [read post]
28 Apr 2015, 8:21 am
House Armed Services Committee Chairman Mac Thornberry (R-TX) released his draft for the 2016 National Defense Authorization Act (NDAA) yesterday. [read post]
27 Apr 2015, 6:28 am
From October 2005 until October 2008, Vitucci was registered with AIG Financial Advisors, Inc. [read post]
25 Apr 2015, 4:22 am
Tobin most recently served as Chief Financial Officer of Empire State Development, where she oversaw the $1.6 billion bond financing of World Trade Center 3. [read post]
24 Apr 2015, 1:26 pm
This week, Cordell & Cordell posted a column by Principal Partner Joe Cordell for Financial Advisor Magazine explaining how critical it is to consider all the different financial ramifications of getting a divorce. [read post]
24 Apr 2015, 6:00 am
After receiving a fairness opinion from its financial advisor, the committee approved the transaction and litigation ensued. [read post]
