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22 Apr 2015, 6:00 am
In the US, COB regulation encompasses the regulation of broker-dealers and investment advisors under state and federal law; in the EU, the regulation of investment firms under MiFID I and the proposed MiFID II/ MiFIR regime; and in Australia, the regulation of financial services licensees and individual advisors under federal law. [read post]
2 Feb 2016, 2:59 pm
According to FINRA, Jeffrey Davidson (CRD# 1352867), an investment advisor with American Portfolios Financial Services since 2009, recently entered into a Letter of Acceptance Waiver and Consent (AWC) to settle allegations that he violated numerous industry rules and regulations. [read post]
11 Jul 2016, 3:52 am
The proposals were put forward as “poison pill riders” to a financial-services agencies appropriations bill for the federal budget year beginning October 1. [read post]
7 Jan 2020, 10:57 am
Financial Advisor John A. [read post]
29 Mar 2011, 10:26 pm
I'm excited to have the opportunity to speak with Robert Lew, president and founder of Planning & Financial Advisors, on the topic "Incorporating Philanthropy into the Family Wealth Plan: Different Approaches from a Financial Planner and an Estate Planning Attorney. [read post]
15 Dec 2005, 9:10 am
One of our advisors for our fund hosted a New York CIO dinner last night. [read post]
19 Jul 2024, 6:06 am
(CRD# 20068) of Phoenix, AZ, and WM Financial Services, Inc. [read post]
14 Aug 2014, 5:57 am
(First Allied) and Centaurus Financial, Inc. [read post]
5 Mar 2007, 8:06 am
Wins were recorded in the government, financial services, education, manufacturing and utilities markets. [read post]
8 Jan 2009, 10:13 am
Brokers and financial advisors can be compelled to compensate investors for losses caused by their failure to meet such legal duties. [read post]
30 Nov 2015, 6:44 am
According to InvestmentNews, only about 12% of financial advisors have any type of disclosure event on their records. [read post]
26 May 2015, 9:59 am
As we previously reported, The Financial Industry Regulatory Authority (FINRA) sanctioned and barred financial advisor Matthew Davis (Davis) concerning allegations of misconduct in several customer accounts. [read post]
9 Feb 2023, 11:27 am
They represent investors in claims against brokers, financial advisors, and brokerage firms to recover financial losses from wrongdoing. [read post]
12 Jun 2012, 10:37 am
” Maryland exempts both “financial institutions that accept deposits that are insured by a federal agency (including an affiliate of the financial institution)” and “[a]n entity (or its affiliate) that is registered as an investment advisor with the U.S. [read post]
1 Feb 2021, 2:02 pm
His previous employers include Morgan Stanley Smith Barney LLC (CRD#:149777) and UBS Financial Services Inc. [read post]
2 Aug 2018, 12:51 pm
(Next Financial). [read post]
24 Nov 2020, 7:55 am
Brian DiBrino (Brian Joseph DiBrino CRD: #2837066) is a registered broker and a previously registered investment advisor who is currently employed with American Portfolios Financial Services, Inc. [read post]
5 Jan 2022, 1:00 am
If your financial advisor has previously been terminated from a job in the financial industry, it will list the firm name, termination type, and allegations that led to the termination. [read post]
3 Mar 2011, 4:29 pm
Becker’s financial interests.Mr. [read post]
15 Aug 2018, 10:46 am
Peter Cunningham – StockCross Financial Services, Beverly Hills, CA William Galvin, commissioner of the Commonwealth of Massachusetts, has reportedly charged StockCross Financial Services and Peter Cunningham with allegedly engaging in improper trading practices. [read post]
