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9 May 2023, 2:21 pm
His previous employers include UBS Financial Services Inc. [read post]
9 May 2023, 11:55 am
06:24 In the last few years we’ve seen brokers and financial advisors pitching risky, high yield bonds, and telling investors that they’re low risk. [read post]
9 May 2023, 10:35 am
Consult with professionals: Engage the services of an estate planning attorney or financial advisor to ensure that your gifting strategy complies with all relevant laws and regulations. [read post]
9 May 2023, 8:34 am
Under the new test, financial advisors must (i) base their advice on an assessment of an appropriate range of financial products; (ii) recommend the most cost-efficient financial product from that range; and (iii) offer at least one financial product without additional features which are not necessary to the achievement of the client’s investment objectives. [read post]
9 May 2023, 7:45 am
“Back in the 20th century, people used to burn their mortgage documents once they had paid the loan off,” said David Reiss, a law professor who specializes in real estate and consumer financial services at Brooklyn Law School in New York. [read post]
8 May 2023, 6:57 am
Merrill Lynch reportedly made changes to its policies to prevent the issue, including telemarketing rules for its advisor trainees after the sanctions in 2014, according to the order. [read post]
8 May 2023, 3:45 am
It is not one of the types of corporations ineligible for S corporation taxation, such as certain financial institutions, insurance companies, and domestic international sales corporations. [read post]
7 May 2023, 9:30 am
Veterans who apply for and receive financial assistance because of Agent Orange exposure and related medical conditions receive that compensation via disability benefits. [read post]
5 May 2023, 9:15 am
Somboun Thao Pruco Securities, LLC MML Investors Services, LLC Patrick Thayer LPL Financial LLC Parkland Securities, LLC Brian Wurdemann RBC Capital Markets, LLC UBS Financial Services Inc. [read post]
5 May 2023, 7:48 am
However, a financial advisor or brokerage firm cannot argue that they currently lack the “bona fide ability to pay”. [read post]
3 May 2023, 9:03 pm
The Financial Stability Oversight Council (“FSOC”) and the SEC do need high-quality information about the markets and the firms participating in those markets, but more is not always better. [read post]
3 May 2023, 7:18 am
A former lead advisor to the Government of Bolivia on its pension privaitization project, Ms. [read post]
3 May 2023, 6:28 am
We list some of the examples below: mortgage lenders and brokers payday lenders finance companies account servicers check cashing companies wire transferors collection agencies tax preparation firms non-federally insured credit unions investment advisors that aren’t required to register with the SEC a retailer that extends credit by issuing its own credit card directly to consumers an automobile dealership that, as a usual part of its… [read post]
1 May 2023, 2:16 pm
Contact [[title]] to learn more about our services. [read post]
1 May 2023, 12:27 pm
Department of Health and Human Services. [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]
1 May 2023, 8:42 am
(CRD#:594), BOSTON, MA, B, 11/16/2018 – 05/22/2020, MORGAN STANLEY (CRD#:149777), WILLIAMSVILLE, NY B, 12/06/2013 – 11/27/2018, UBS FINANCIAL SERVICES INC. [read post]
1 May 2023, 8:30 am
Stamer’s work throughout her career has focused heavily on working with employer and other staffing and workforce organizations, health care and managed care, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with gender and other discrimination and others workforce management, regulatory and… [read post]
1 May 2023, 7:59 am
Contact Emergency Services: Once you are in a safe location, you should now call emergency services to the scene of the accident or crash. [read post]
1 May 2023, 7:00 am
He believes that everyone deserves access to high-quality tax representation, regardless of their financial situation, and he works hard to make his services accessible to all. [read post]
