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18 Jan 2023, 9:51 pm
For over 30 years, Shepherd Smith Edwards and Kantas (investorlawyers.com) has represented investors who have suffered serious losses in non-traded securities against their brokerage firms and financial advisors. [read post]
16 Jul 2015, 6:59 am
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against ARI Financial Services, Inc. [read post]
11 Apr 2014, 6:00 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Marylin T. [read post]
20 Sep 2017, 6:26 am
From 2002 through December 2009 Magarelli was associated with Amerirpirse Financial Services, Inc. [read post]
1 Apr 2024, 4:50 pm
FINRA fines Voya Financial Advisors $500,000 for Paying Comp on VUL Sales to an Unregistered EntityA Letter of Acceptance, Waiver and Consent was issued in which Voya Financial Advisors, Inc. [read post]
25 Jul 2011, 7:24 pm
We are a trusted advisor to numerous companies throughout the state. [read post]
5 Jan 2021, 11:32 am
Generally, a financial advisor should never take advantage of a customer’s financial circumstances or trust in the advisor. [read post]
27 Apr 2022, 7:20 am
Michael Knittel (Michael Murray Knittel CRD# 3274235) is a currently registered broker and investment advisor whose last known employer is Fortune Financial Services, Inc. [read post]
Chambers Litigation Support 2019: An Independent Assessment of Litigation Support Services Providers
9 Aug 2019, 4:49 pm
A premier guide to core services in the litigation sector, target audiences for the guide include: Litigators Corporate GCs Public Relations Professionals Financial Analysts These audiences require an independent and objective assessment of leading providers to inform their decisions for the purchase of litigation support services. [read post]
20 Feb 2020, 9:06 am
In November 2016, the CFPB issued a request for information (RFI) about market practices related to consumer access to financial information, and in October 2017, it released a set of “Consumer Protection Principles” for participants “in the developing market for services based on the consumer-authorized use of financial data. [read post]
9 Mar 2017, 7:25 am
FINRA’s BrokerCheck provides easy access to background information on your financial advisor. [read post]
11 Feb 2010, 3:03 pm
Blum & Silver, LLP is currently investigating former financial advisor Michael Joseph DiMare. [read post]
New York DFS Consumer Protection and Financial Enforcement Division: New Name, New Look, Old Mandate
29 May 2019, 12:08 pm
On April 29, 2019, just months into her new job at the New York State Department of Financial Services (“DFS”), acting DFS Superintendent Linda Lacewell announced a significant reorganization within the financial and insurance regulator. [read post]
6 Nov 2023, 11:00 am
(CRD#:15296), Southfield, MIB, 07/31/2003 – 09/08/2016, VALIC FINANCIAL ADVISORS, INC. [read post]
13 Feb 2017, 6:19 am
Substantial financial disputes on a broker’s record can reveal a financial incentive for the broker to recommend high commission products or services. [read post]
13 Feb 2017, 6:19 am
Substantial financial disputes on a broker’s record can reveal a financial incentive for the broker to recommend high commission products or services. [read post]
3 Jan 2023, 2:17 pm
Dusty Sternadel (Dusty Lynn Sternadel CRD# 5872600) is a former broker and investment advisor who was last registered with Ameriprise Financial Services, LLC (CRD#:6363) of Wichita Falls, TX. [read post]
10 Nov 2023, 7:44 am
FINRA Bars Advisor Robert Marquez, Investment Network According to public records, FINRA has reportedly barred financial advisor Robert Marquez (CRD#: 2266269) from the securities industry. [read post]
31 Jan 2019, 12:58 pm
From June 2011 until April 2016 Abramowitz was associated with Raymond James Financial Services, Inc. [read post]
29 May 2020, 11:28 am
From November 2012 until October 2018 Santiago was registered with UBS Financial Services Inc. [read post]
