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10 Jan 2023, 7:39 am
UBS Financial Services also agreed to pay nearly $25 million to settle fraud charges in connection with its Yield Enhancement Strategy, (YES Strategy). [read post]
6 Jun 2017, 6:55 am
This is largely due to shareholder advisors, such as Institutional Shareholder Services (ISS), using TSR as the primary metric in their relative pay for performance (P4P) quantitative evaluations. [read post]
28 May 2021, 10:52 am
However, a financial advisor or brokerage firm cannot argue that they currently lack the “bona fide ability to pay”. [read post]
9 Sep 2021, 10:25 am
FINRA reportedly Bars Adam Belardino after Allegations of Excessive Trading, Misrepresentation According to public records on September 7, 2021, the Financial Industry Regulatory Authority (FINRA) has barred financial advisor Adam Belardino (CRD #5221927) for allegedly failing to provide on-the-record testimony on two occasions. [read post]
9 Jul 2019, 7:55 am
Because financial advisors and brokers are not held to the higher standard called fiduciary duty, in which the investor’s best interest must always supersede that of the broker, financial advisors have a tendency to choose investments that are maybe not the best for the investor but certainly lucrative for the advisor. [read post]
30 Sep 2011, 3:07 pm
Concert Wealth Management doesn’t want to be just like HighTower Advisors or Focus Financial Partners. [read post]
11 Dec 2015, 2:23 pm
The Financial Industry Regulatory Authority (FINRA) has accused Comprehensive Asset Management and Servicing Inc (CAMS) of failing to meet its supervisory obligations in a numerous areas, including variable annuities. [read post]
2 May 2012, 6:14 am
("Citigroup"), Morgan Stanley, UBS Financial Services, Inc. [read post]
30 Oct 2014, 7:45 am
Currently, the fiduciary duty rule only applies to financial advisors (and brokers under certain circumstances) – more commonly recognized by the public as advisors who charge a flat fee for their services as opposed to commissions. [read post]
19 Jul 2021, 7:09 pm
On July 19, 2021, UBS Financial Services Inc. [read post]
24 Sep 2021, 3:35 am
Thus, we find that ASCENT-formative marks have conceptual weakness in association with financial services.As to commercial strength, the evidence was "powerful" that "consumers encountering marks in the financial field have become conditioned to distinguish marks incorporating ASCENT-formative terms based on minute differences including the addition of descriptive and generic terms such as 'financial advisors,' 'financial… [read post]
12 Jan 2016, 2:29 pm
Unfortunately, some financial advisors sell them to their clients anyway, without fully disclosing the potentially devastating risks – as we highlighted here in 2014. [read post]
20 Dec 2023, 9:42 pm
Currently, Shepherd Smith Edwards and Kantas (investorlawyers.com) are representing dozens of investors from Central and South America who suffered losses in Northstar Financial Services (Bermuda) because their US financial advisor allegedly unsuitably marketed and sold them annuities in this offshore company. [read post]
8 May 2020, 9:25 am
Damion Smith Morgan Stanley UBS Financial Services Inc. [read post]
1 Jun 2016, 10:23 am
Chamber of Commerce, SIFMA (a Bar association of attorneys representing the brokerage industry, FSI, IRI and the Financial Services Roundtable could file a suit as early as Thursday. [read post]
11 Jan 2015, 2:32 pm
Popek was registered with Ameriprise Financial Services, Inc. from December 2006 until May 2008. [read post]
11 Dec 2023, 3:25 am
Another factor is the cost of core services, particularly childcare, faced by many workers. [read post]
9 Feb 2011, 2:34 am
It will also work to make regulations and guidance as clear and streamlined as possible so providers of consumer financial products and services can follow the rules on their own. [read post]
9 May 2011, 7:38 pm
Clara Shih, the CEO of a company that provides social media services to financial service business, wrote a nice article for the most recent edition of the ABA Banking Journal entitled "6 Steps Every Financial Professional Should Take Before Using Linkedin. [read post]
3 Feb 2009, 5:55 pm
" The Chartered Financial Consultant ® designation was established as a professional designation in 1982 and is conferred by The American College, a non-profit public educational institution with the highest level of academic accreditation and an 82-year history of raising professionalism in the financial services field. [read post]
