Search for: "Financial Advisors Services"
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30 May 2014, 7:40 am
When a FINRA registered financial advisor violates securities industry rules and standards, his or her employer may be held liable for failure to properly supervise the actions of their agent. [read post]
29 May 2014, 6:44 am
In the Matter of Ameriprise Financial Services, Inc. [read post]
28 May 2014, 12:05 pm
Stamer has more than 24 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
28 May 2014, 8:27 am
The financial services industry no doubt is lobbying hard to stave off a fiduciary standard that would protect customers and potentially cut into industry profits. [read post]
28 May 2014, 5:49 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned MML Investors Services, LLC (MML Investors a/k/a MassMutual Life Insurance Company) broker Monte Miron (Miron) concerning allegations that Miron made unauthorized trades in client accounts and that the broker failed to disclose certain tax liens on his Form U4 in a timely manner. [read post]
27 May 2014, 4:26 am
Talk to a financial advisor or accountant. [read post]
23 May 2014, 3:02 pm
Heinz & Associates was incorporated in 2004 and provided financial planning and insurance services. [read post]
21 May 2014, 6:36 am
” According to the Investment News survey, the top ten independent broker-dealers with the most growth from alternative investments include: (1) Independent Financial Group; (2) Triad Advisors; (3) Royal Alliance Associates; (4) National Planning Corp.; (5) First Allied Securities; (6) Lincoln Financial Network; (7) Cambridge Investment Research; (8) Commonwealth Financial Network; (9) Ameriprise Financial Services; 10) LPL… [read post]
19 May 2014, 3:00 am
Before making any decision or taking any action that may affect your business, you should consult a qualified legal advisor. [read post]
16 May 2014, 5:08 pm
Last year, FINRA advocated for legislation that would shift adviser oversight for advisors and the measure never made it out of the House Financial Services Committee. [read post]
15 May 2014, 10:00 am
Stamer has more than 24 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
13 May 2014, 9:30 pm
According to investigations by the New York State Department of Financial Services (DFS) and the Federal Reserve Bank of Minneapolis (FRBM), failing to regulate shadow insurance short-changes tax-payers and, in a worst case scenario, could place the entire economy at risk from cascading failures. [read post]
13 May 2014, 11:23 am
Instead, the fight over arbitration is another chapter in the fight over whether public services should be privatized. [read post]
12 May 2014, 10:53 am
(“KeyBanc”), which it hired as its financial advisor. [read post]
9 May 2014, 1:42 pm
Basically, a “municipal advisor” is simply a technical way to describe a financial advisor who provides her services to local municipalities which have shown themselves to date to be in dire need of quality financial advice. [read post]
8 May 2014, 12:44 pm
Onyx Capital Advisors, LLC, Roy Dixon, Jr., and Michael A. [read post]
6 May 2014, 11:44 am
More Than $1 Million in Penalties and Restitution Transamerica Financial Advisors, Inc., a St. [read post]
6 May 2014, 8:40 am
She has had vast experience in high profile reorganization issues related to the financial and economic phase of the business and/or the individual. [read post]
6 May 2014, 8:27 am
The Senate companion bill is S. 1907.Representative Barr, a key member of the House Financial Services Committee, said that the legacy debt securities of CLOs must be protected from the medicine that the Volcker Rule prescribes. [read post]
5 May 2014, 4:00 am
For example, due to simple economics you can’t provide the best legal expertise in the world’s financial centers and be the lowest cost provider. [read post]
