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13 Jun 2023, 12:09 pm
A Los Angeles County judge recently determined that the two cases should be consolidated.[7] The City’s financial advisors have warned that although the City may receive millions from this special tax, it may have to refund all of the funds if it ends up losing the now-consolidated lawsuit.[8] The Howard Jarvis Taxpayers Association has published on its website instructions on how to file for a refund if the lawsuit overturns the special tax.[9] There is also a… [read post]
10 Jun 2023, 6:45 pm
A 25-year veteran financial advisor who worked for UBS Financial Services Inc. in Waco, Texas, was barred from the securities industry Friday by the Financial Industry Regulatory Authority Inc. for his role in off-the-books, private securities transactions, according to Finra. [read post]
10 Jun 2023, 6:23 am
The Financial Industry Regulatory Authority Inc. on Thursday barred a financial advisor who borrowed more than $850,000 while registered with LPL Financial and later Raymond James Financial Services Inc. [read post]
9 Jun 2023, 12:54 pm
According to his FINRA BrokerCheck report, Benjamin was reportedly affiliated with the following firms during his career: 07/29/2020 – 04/12/2022, RAYMOND JAMES FINANCIAL SERVICES, INC. [read post]
9 Jun 2023, 10:05 am
6623916 QUICKCAN 6618129 GARDEN STATE 6618117 C&R INSURANCE SERVICES 6618111 DIETHOOD 6618103 OMEGA 6623713 G. [read post]
8 Jun 2023, 12:33 pm
This can include your attorney, financial or tax advisors, insurance agents, and healthcare providers. [read post]
8 Jun 2023, 12:08 pm
PAID SICK LEAVE The new law expands the reasons for which employees may use paid sick leave under the Colorado Healthy Families and Workplaces Act (HFWA) to include leave for an employee to: grieve, attend funeral services or a memorial, or deal with financial and legal matters that arise after the death of a family member; and care for a family member whose school or place of care has been closed—or to evacuate a place of residence—due to inclement weather, loss of… [read post]
8 Jun 2023, 5:13 am
Read on if you’re a US expat seeking to make informed financial decisions and ensure compliance with tax laws while working in the UK. [read post]
7 Jun 2023, 8:54 pm
Anna Mary Coburn, former attorney for the US Government (USG) involving the Hague Children’s Conventions and a Regional Legal Advisor and Foreign Service Officer for USAID. [read post]
7 Jun 2023, 1:54 pm
Pease, while affiliated with Wells Fargo Clearing Services and Wells Fargo Advisors Financial [...] [read post]
7 Jun 2023, 6:47 am
Wells Fargo Advisors won more than $19.6 million in an arbitration claim accusing Raymond James Financial Services and an ex-Wells broker of raiding an Arkansas branch that has since closed, according to an award issued Thursday. [read post]
6 Jun 2023, 6:56 pm
Continue Reading › The post Financial Advisor Negligence Attorney appeared first on Investor Lawyers Blog. [read post]
6 Jun 2023, 9:53 am
$1.4 billion in AUM and 40 employees moving to Cetera RIA provides holistic financial planning services to more than 1,800 high-net-worth individuals, families and retirees LOS ANGELES, June 6, 2023 /PRNewswire/ -- Cetera Holdings, the holding company of Cetera Financial Group, the premier financial advisor Wealth Hub where financial advisors and institutions can [...] [read post]
6 Jun 2023, 2:05 am
SoFi at Work is a holistic financial well-being benefits platform offering a suite of services, tools, insights, and educational resources tailored to address each workforce’s unique and evolving needs. [read post]
6 Jun 2023, 2:05 am
SoFi at Work is a holistic financial well-being benefits platform offering a suite of services, tools, insights, and educational resources tailored to address each workforce’s unique and evolving needs. [read post]
5 Jun 2023, 7:55 pm
Form CRS delineates its services, conflicts, fees, disciplinary history, and other information to customers. [read post]
5 Jun 2023, 7:09 pm
Four of Advisor Group's brokerages settled FINRA charges that the firms negligently sold clients $16 million worth of alternative investments without informing them of the risks.FSC Securities, Royal Alliance Associates, SagePoint Financial and Woodbury Financial Services agreed to pay $1.27 million in fines and restitution to nearly 200 clients who purchased stakes in [...] [read post]
5 Jun 2023, 11:57 am
The post Financial Advisor IQ – Content Page appeared first on Stoltmann Law. [read post]
5 Jun 2023, 4:29 am
As part of their role, trusts, and estates lawyers typically also communicate and collaborate with their clients’ other advisors, including financial and tax professionals, as well as their clients’ heirs and beneficiaries. [read post]
5 Jun 2023, 2:02 am
Additionally, the organization’s customer service experience can be enhanced when the data is used in product development or service-related functions. [read post]
