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15 Dec 2018, 8:40 am
From June 2007 until September 2013 Hightower was registered with UBS Financial Services Inc. [read post]
20 Dec 2023, 7:19 am
According to Eric Kubiak’s FINRA BrokerCheck report, he was affiliated with Ameriprise Financial Services in Cheektowaga, NY from 08/12/2008 – 04/06/2023. [read post]
15 Feb 2011, 9:19 am
Law Lessons from ADVISORS FINANCIAL CENTER, L.L.C. v. [read post]
2 Nov 2023, 6:55 am
His previous employers include Wells Fargo Advisors, LLC (CRD# 19616) of Hallandale, FL, UBS Financial Services Inc. [read post]
23 Sep 2016, 11:51 am
Consumer Financial Protection Bureau filed a lawsuit in federal district court against the credit repair company Prime Marketing Holdings alleging it charged consumers illegal advance fees and misrepresented the cost and effectiveness of its services. [read post]
6 May 2020, 10:41 am
Cetera Financial Group, comprised of Cetera Advisors, Cetera Advisor Networks, First Allied Securities, and Summit Brokerage Services, recently announced that it is halting sales of non-traded real estate investment trusts (REITs) and interval funds, citing the likely inaccuracy of real estate valuations leading up to the COVID-19 pandemic. [read post]
Pa. Supreme Court Holds No Fiduciary Duty Created By Purchase of Insurance From Ameriprise Financial
2 Aug 2017, 6:41 am
Yenchi sued Ameriprise, American Express Financial Services Corporation, American Express Financial Advisors Corporation, IDS Life Insurance Company, and an agent, Holland, after having their purchases independently reviewed. [read post]
17 Mar 2020, 10:54 am
Aggressive financial advisors may have unsuitably recommended energy funds in an effort to chase yield. [read post]
19 Mar 2014, 3:12 pm
According to Financial Advisors Magazine, the New York Department of Financial Services fined AXA SA’s U.S. unit $25 million for changing the investment strategies of previously sold variable annuities products without giving adequate notice to regulators. [read post]
13 Aug 2018, 1:14 pm
(CRD #1703) of Des Moines, IA, and BMA Financial Services, Inc. [read post]
21 Jan 2021, 7:12 am
., Securities America Advisors, Inc, Summit Financial Group, Inc., and American Portfolios Financial Services. [read post]
5 May 2022, 10:50 am
Kent Kirby, a financial advisor at UBS Financial Services, Inc., sought the expungement from CRD of five customer complaints spanning a time frame from 2002 through 2011. [read post]
13 Oct 2017, 8:33 am
State-level fines and penalties hit 5-year high | On Wall Street:"The SEC has begun to work with the Department of Labor on a fiduciary rule proposal to harmonize the standards of conduct for advisors and broker-dealers, Jay Clayton, the agency's chairman, told members of the House Financial Services Committee.Clayton's comments suggest that after months of collecting and reviewing comments on what a uniform fiduciary standard should look like, the… [read post]
28 Aug 2020, 8:54 am
Indicted And Arrested For Conspiracy To Commit Wire Fraud (DOJ Release)SEC Charges Florida Men for Ponzi Scheme Targeting Investors in Puerto Rico (SEC Release)SEC Charges Firm and Its CEO with Unlawful Sales of Securities (SEC Release)CFTC Charges 5 Canadians, 1 American, and 4 Companies in $165 Million Global Binary Options Fraud Scheme (CFTC Release)FINRA Imposes Censure, Fine and Restitution on Wells Fargo Clearing Services and Wells Fargo Advisors Financial ... [read post]
15 Sep 2020, 8:58 am
Kalos Capital and Kalos Financial are related companies that offer stock brokerage and investment advisory services. [read post]
25 May 2018, 11:30 am
Since his termination, he has not been associated with any other financial services firm. [read post]
19 Feb 2019, 1:09 pm
Kestra was previously called NFP Advisor Services. [read post]
5 Dec 2017, 7:50 am
The Financial Industry Regulatory Authority (FINRA) ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC (Wells Fargo) to pay more than $3.4 million in restitution to customers for unsuitable recommendations of volatility-linked exchange-traded products (ETPs) and supervisory failures concerning the sales of these products. [read post]
6 Mar 2007, 5:14 pm
" About Mirus Capital Advisors Mirus Capital Advisors provides investment banking solutions to corporate clients in the areas of software, online media, business services and niche manufacturing. [read post]
15 Jan 2024, 7:08 pm
This is not the first customer dispute involving this Centaurus broker and investment adviser, who works out of Santa Barbara, CA, and also runs Tremblay Financial Services. [read post]
