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5 Apr 2018, 6:50 am
According to the Financial Industry Regulatory (FINRA), the regulator has barred former LPL Financial advisor, Laura Ortega Shean for using client funds to pay her own taxes. [read post]
Testimony at the Committee on Financial Services hearing: “Oversight of the Proxy Advisory Industry”
20 Jul 2023, 6:31 am
In order to do so both effectively and efficiently, institutional investors often leverage their resources by using the services of a proxy advisor. [read post]
Testimony at the Committee on Financial Services hearing: “Oversight of the Proxy Advisory Industry”
20 Jul 2023, 6:31 am
In order to do so both effectively and efficiently, institutional investors often leverage their resources by using the services of a proxy advisor. [read post]
28 Aug 2021, 1:36 pm
There are trusted advisors who offer bookkeeping services to their clients to help combat the potential for financial abuse. [read post]
23 Aug 2021, 4:00 am
Retiree Suffers Significant Losses in PB Investment Holdings on Recommendation of Cetera Financial Advisor A Chinese national has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim over losses she suffered after a Cetera Investment Services advisor unsuitably recommended and sold a PB Investment Holdings annuity to her. [read post]
11 Feb 2020, 7:31 am
Advisor William Sines (Sines), currently employed by Berthel, Fisher & Company Financial Services, Inc. [read post]
21 May 2019, 12:06 pm
The other Independent Financial Group advisor who allegedly recommended his customers invest with some of the aforementioned unregistered financial advisors is Jon Pariser. [read post]
11 Mar 2011, 4:20 am
Adult children who would like to use a GRAT to pass wealth up to their parents or grandparents should consult with a financial or estate planning advisor sooner rather than later. [read post]
7 Sep 2018, 3:52 pm
When financial advisors transition from one bank to another, there is always a litigation risk. [read post]
24 Jun 2021, 6:20 pm
All too often, securities brokers who lose their licenses to sell stocks, bonds, and mutual funds find an escape hatch to remain in the financial services industry: They move on to sell insurance products. [read post]
29 Jun 2018, 8:28 am
Peter Holler was a financial advisor and registered representative of Securities Service Network from November 2001 to August 2017. [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]
21 May 2015, 11:09 am
Broker Dealer Financial Services Corp. [read post]
8 Mar 2022, 8:10 am
Cole-Frieman & Mallon LLP Cole-Frieman & Mallon LLP is one of the top investment management law firms in the United States, known for providing top-tier, innovative, and collaborative legal solutions for complex financial services matters. [read post]
8 Jun 2015, 8:13 am
Stifel is a financial services holding company with its headquarters located in St. [read post]
13 Jun 2018, 10:16 am
The Financial Industry Regulatory Authority (FINRA) recently barred former MML Investors Services broker Brian Travers from the industry. [read post]
11 Nov 2011, 9:58 am
Many investors do not realize that the terms Financial Analyst, Financial Advisor, Financial Consultant, Financial Planner, Investment Consultant or Wealth Manager are simply generic terms or job titles commonly used by stockbrokers and investment advisors. [read post]
13 Apr 2018, 8:19 am
Mersinger Senior Vice President, Wealth Management Advisor Merrill Lynch/Bank of America A member of the financial services industry since 1980, Denise K. [read post]
1 May 2023, 9:51 am
If it can be determined that the financial advisor’s employers failed to adequately supervise him, these firms can be held responsible for any resulting losses in a FINRA arbitration claim. [read post]
6 May 2024, 7:03 pm
Ex-Suntrust Advisor Eddy Blizzard Sentenced to Prison Eddy Ray Blizzard, a Maryland financial advisor, was reportedly sentenced to 42 months in federal prison for stealing approximately $1 million from an elderly client. [read post]
