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20 Apr 2017, 1:49 pm
Our law firm, Gana LLP, is investigating claims made by Financial Industry Regulatory Authority (FINRA) against broker James Vernon Regier (Regier), formerly associated with Summit Brokerage Services, Inc. [read post]
14 Mar 2011, 12:27 pm
For now, BDLawBlog.com is pleased to present you Amy's post: The Best Social Media Compliance Products for Financial Professionals As a financial advisor compliance can be a nightmare...especially when it comes to social media. [read post]
22 Oct 2014, 11:22 am
A former intern at a New York City financial services company has sued the firm and her former supervisor for sexual harassment and other claims. [read post]
12 May 2011, 12:58 pm
You likely will receive good response to any joint marketing efforts you suggest to allied professionals in the financial services industry. [read post]
22 Mar 2020, 12:20 pm
The case is Global & Local Investments Advisors (Pty) Ltd v Fouche. [read post]
27 Sep 2016, 12:32 pm
For more information on the services she offers, visit Divorce Money Matters. [read post]
10 Nov 2020, 10:52 am
Financial Advisor Richard Wesselt, The O.N. [read post]
19 Feb 2021, 12:44 pm
Reed was a financial advisor with Wells Fargo Clearing Services (“Wells Fargo”) in Scottsdale, Arizona, from April 2016 until April 2020. [read post]
17 Sep 2018, 7:56 am
SEC Charges Advisor Tamara Steele in Alleged $13 Million Fraud Have you suffered losses investing with Tamara Steele and Steele Financial? [read post]
9 Dec 2019, 5:34 pm
According to BrokerCheck records financial advisor Leon Almeida (Almeida), formerly employed by MML Investors Services, LLC (MML Investors) has been subject to four customer disputes and one criminal matter during his career. [read post]
16 Aug 2019, 9:46 am
Former Financial Advisor Rick D. [read post]
7 Oct 2019, 8:29 am
Financial Advisor Benjamin Lowder Jr., MSI Financial Services in Charlotte, NC Are you concerned about investments with Benjamin Lowder Jr. in Charlotte, NC? [read post]
15 Aug 2019, 7:16 am
Former Financial Advisor Rick D. [read post]
2 Jun 2020, 7:42 am
Financial Advisor Bob Korzik, Ameriprise Financial Services in Little Falls, NJ Robert Korzik Reportedly Suspended and Fined after Allegations of Selling Away According to public records on the Financial Industry Regulatory Authority (FINRA) website on May 26, 2020, the regulator has reportedly fined and suspended Robert Korzik (Bob Korzik) after he allegedly participated in and solicited Firm customers to invest in private securities transactions without… [read post]
11 Dec 2019, 12:40 pm
Financial Advisor Gerald T. [read post]
3 Dec 2021, 1:50 pm
Jerry Rice (CRD#: 375290) is a previously registered broker/advisor whose last known employer was Raymond James Financial Services (CRD#: 6694) of Tinton Falls, New Jersey. [read post]
30 Jan 2023, 12:55 pm
Is the input of code to direct an AI trade a professional service by a broker dealer? [read post]
20 Aug 2018, 12:51 pm
Shon Flaharty (CRD #2666498) is a currently registered broker and investment advisor with LPL Financial LLC (CRD #6413) of Clearwater, FL. [read post]
1 Jul 2014, 12:13 pm
-based investment advisor Scott Valente and his firm, The ELIV Group, LLC. [read post]
16 Jan 2012, 3:32 am
Financial counselor Suze Orman just came out with her own prepaid debit card called the Approved Card. [read post]
