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8 Jul 2011, 9:31 am
He, his financial advisor, his banker, and his accountant, were all ecstatic. [read post]
27 Jul 2011, 3:12 pm
” Within the coming weeks potential buyers will finalize their proposals which will include structure, valuation, and approaches to financial advisor retention and/or equity participation. [read post]
14 May 2020, 10:38 am
Aggressive financial advisors may have unsuitably recommended FSP in an effort to chase yield. [read post]
16 Jun 2020, 11:20 am
Aggressive financial advisors may have unsuitably recommended EPRT in an effort to chase yield. [read post]
18 Jun 2020, 10:19 am
Aggressive financial advisors may have unsuitably recommended REG in an effort to chase yield. [read post]
15 Dec 2014, 8:01 am
Selling away occurs when a financial advisor solicits investments in companies or promissory notes that were not approved by the broker’s affiliated firm. [read post]
17 May 2019, 7:19 am
Richard Vincent Minichino II (CRD#: 5760826) is a former registered broker and investment advisor whose last employer was Next Financial Group, Inc. [read post]
11 Apr 2011, 12:41 pm
FINRA further alleged that UBS failed to disseminate adequately to its financial advisors certain market information relating to Lehman’s financial conditions and UBS failed to establish an adequate supervisory system for its financial advisors training, marketing and sale of PPNs. [read post]
25 Sep 2018, 6:33 am
Requires “student loan servicers,” as defined, to designate an individual to represent the servicer in communications with the Ombudsman and provide contact information to the Ombudsman. [read post]
30 May 2014, 7:40 am
When a FINRA registered financial advisor violates securities industry rules and standards, his or her employer may be held liable for failure to properly supervise the actions of their agent. [read post]
22 Apr 2011, 6:58 am
The Financial Industry Regulatory Authority (FINRA) has fined UBS Financial Services $2.5 million over PPNs, requiring the brokerage firm to pay $8.25 million in restitution for omissions and statements made to investors about the products. [read post]
7 Jul 2021, 1:51 pm
Michael Gopie AXA Advisors, LLC Merrill Lynch, Pierce, Fenner & Smith Inc Cary Kievman Ameriprise Financial Services, Inc. [read post]
26 Jan 2022, 11:36 am
GWGH is a Dallas-based financial services firm that offers a variety of ‘services including life insurance and alternative investments. [read post]
18 Oct 2019, 7:16 am
From September 2016 until July 2019 Byrd was associated with Capital Financial Services, Inc. [read post]
12 Jun 2014, 10:40 am
Registered Reps are now called Financial Advisors or Wealth Managers. [read post]
7 Jul 2021, 9:36 am
The Financial Industry Regulatory Authority (“FINRA”) has barred financial advisor Tyler Rigsbee from the securities industry for refusing to cooperate with a FINRA investigation. [read post]
10 Apr 2008, 7:49 pm
RiskMetrics, the parent company of proxy advisor Institutional Services (which I critiqued in the paper discussed here on the Glom), recently published two studies on the subprime crisis. [read post]
26 Jan 2017, 5:00 am
Susan Diamond was Chief Compliance Officer of Saddle River Advisors. [read post]
1 Jun 2014, 4:45 pm
BD Regulation: Broken Windows, Broken System At the Financial Services Institute OneVoice conference in late January, FSI President and CEO Dale Brown set the stage for things to come by commenting on the intentions of SEC Chairwoman Mary Jo White. [read post]
21 Sep 2016, 7:07 am
From 1992 through January 2011 Salem was registered with UBS Financial Services, Inc. [read post]
