Search for: "Financial Advisors Services"
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24 Sep 2007, 10:14 am
As part of its ongoing effort to protect senior investors, the SEC initiated its investigation of broker-dealers, investment advisors and other financial services firms that offer so-called "free lunch" sales seminars. [read post]
20 Sep 2007, 9:00 am
Chicago Bulls guard Ben Gordon is suing his former financial advisors for breach of contract and breach of fiduciary duty,... [read post]
20 Sep 2007, 7:18 am
Google response - we are not a health care company, trying to get better at health care, taking it slowly, very small team making quick decisions working bottom up, team is small, business model - free service for health user/put out a product that will help people/ads that help with discovery of information. [read post]
19 Sep 2007, 9:07 am
Regulators conducted 110 examinations of broker-dealers, investment advisors and other financial services firms hosting "free lunch" seminarsâ€â [read post]
18 Sep 2007, 7:00 am
This paragraph is based largely on Rule 3.546(c)(13)’s list of nexus-creating activities for financial services businesses. [read post]
17 Sep 2007, 11:51 pm
Legacy Financial Services Inc., an independent broker-dealer, has closed shop. [read post]
14 Sep 2007, 5:20 pm
The Senate Special Committee on Aging is in the process of investigating Old Mutual Financial Network, Allianz Life, American Equity Investment Life Insurance, Society of Certified Senior Advisor's, Piece of Pie Strategic Coaching, and Senior Insurance Training Services. [read post]
10 Sep 2007, 5:54 pm
Longoria's presentation also featured a product developed by Amicus Financial Advisors that calculates projected taxes on various settlement options. [read post]
7 Sep 2007, 9:46 am
In July of 2007, UBS Financial Services, Inc. agreed to pay a $23.3 million settlement for "inappropriately steering" brokerage customers into fee-based accounts. [read post]
5 Sep 2007, 1:08 pm
Industry Guidance Will Supplement UK Principles-Based RegulationIn the new era of principles-based financial regulation in the UK, industry guidance will be permitted to supplement the Financial Services Authority regulations, according to a new FSA policy statement. [read post]
5 Sep 2007, 7:39 am
Again, Special Master Rice did not adopt this rationale because, among other grounds, "the role of legal counsel … change[s] from legal advisor to corporate decision-maker" if lawyers have the ability to require revisions. [read post]
31 Aug 2007, 3:16 am
We will work with Second Life to enable them to offer company formation services to their avatars. [read post]
24 Aug 2007, 8:39 am
In 1996, Marmelstein began attending services at the synagogue, and Tendler began advising her with respect to her personal, legal and financial problems. [read post]
9 Aug 2007, 10:31 pm
Tilley is NOT listed on the websites of EPS, Ringler, SPI, Delta, Summit or Creative-Capital and, on information received by this author, Amicus Capital Services is NOT affiliated with the reputable Amicus Financial Advisors, LLP! [read post]
7 Aug 2007, 11:03 am
(See NASD News Release: NASD Fines Raymond James Financial Services, Inc. $2.75 Million for Lax Supervision of Producing Branch Managers, February 21, 2007). [read post]
2 Aug 2007, 4:00 pm
Settlement consultants, settlement brokers, structured settlement consultants, structured settlement brokers, settlement planners, structured settlement planners, settlement adviser, settlement advisor, structured settlement adviser, structured settlement advisor, structured settlement agent, structured settlement expert. [read post]
31 Jul 2007, 8:52 pm
-based rep affiliated with LPL Financial Services. [read post]
20 Jul 2007, 11:05 am
" The Senate Special Committee on Aging is in the process of investigating Old Mutual Financial Network, Allianz Life, American Equity Investment Life Insurance, Society of Certified Senior Advisor's, Piece of Pie Strategic Coaching, and Senior Insurance Training Services. [read post]
10 Jul 2007, 8:29 pm
The following is a Press Release issued by the Society of Financial Service Professionals on July 10, 2007 "In light of the July 8 New York Times cover story "For Elderly Investors, Instant Experts Abound" on some of the designations used by financial and insurance professionals, the Society of Financial Service Professionals (FSP) is restating the criteria it uses to evaluate the credentials that make an individual eligible… [read post]
9 Jul 2007, 10:33 pm
The disclosure records indicate that, after working for a year at a Nissan dealership in Aleda, Tennessee and a year at John Hancock Financial Services, Blount then joined American Express Financial Advisors in 1998. [read post]
