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17 Jul 2024, 6:23 am
(Momentum) at the time of the activity but also did business under the name Jackson Financial Services. [read post]
10 Jul 2007, 8:29 pm
The following is a Press Release issued by the Society of Financial Service Professionals on July 10, 2007 "In light of the July 8 New York Times cover story "For Elderly Investors, Instant Experts Abound" on some of the designations used by financial and insurance professionals, the Society of Financial Service Professionals (FSP) is restating the criteria it uses to evaluate the credentials that make an individual eligible… [read post]
4 May 2018, 1:09 pm
Through his financial advisory and brokerage service, Lux Financial Services, Vaccarelli allegedly deposited customers’ money into his own personal account and business bank accounts, instead of investing the funds in Individual Retirement Accounts, money market accounts, certificates of deposit and other interest-earning investments, as promised. [read post]
12 May 2011, 9:02 am
From INSURANCENEWSNET.COM (May 5, 2011) “Financial Planner Slapped with Suit” Any time you have a financial services company marketing exclusively to retirees and elderly people, it raises questions We work with many qualified financial planners to assist clients with comprehensive estate and financial planning. [read post]
31 Aug 2015, 8:10 am
According to InvestmentNews, only about 12% of financial advisors have any type of disclosure event on their records. [read post]
29 Sep 2016, 7:19 am
Mishkin The Securities and Exchange Commission has announced that it will host a public forum in Washington, D.C. on November 14, 2016 to discuss financial technology innovation in the financial services industry. [read post]
25 May 2021, 6:19 am
According to newsources, a study revealed that 7.3% of financial advisors had a customer complaint on their record when records from 2005 to 2015 were examined. [read post]
10 Nov 2023, 7:01 am
Previous employers include Ameriprise Financial Services, Inc. [read post]
5 Jun 2024, 10:52 am
David Lerner Associates (CRD#5397) functions as a licensed broker-dealer, offering comprehensive independent brokerage services to both individual investors and financial advisors. [read post]
28 May 2014, 5:49 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned MML Investors Services, LLC (MML Investors a/k/a MassMutual Life Insurance Company) broker Monte Miron (Miron) concerning allegations that Miron made unauthorized trades in client accounts and that the broker failed to disclose certain tax liens on his Form U4 in a timely manner. [read post]
12 Mar 2012, 6:09 pm
My service as an advisor consisted solely of providing feedback on the concept early on and additional feedback after launch. [read post]
20 Jun 2013, 5:53 am
From 2002 until August 29, 2011, he was registered with FINRA member firm Raymond James Financial Services, Inc. (“RJFS”).2012 State ActionThe AWC indicates Urovsky’s prior disciplinary history as including a Maryland Securities Commissioner issued a Consent Order (Docket No. 2011-0413, March 1, 2012) against Urovsky t... [read post]
20 Feb 2019, 1:21 pm
The National Association of Insurance and Financial Advisors of New York State Inc. [read post]
21 Mar 2022, 7:59 am
Sure, running a criminal scheme is not necessarily what his employment with Morgan Stanley was about, but offering investment advice and financial services was. [read post]
3 Jun 2020, 9:42 am
Financial Advisor Donald Padilla, LPL Financial in Alhambra, CA Donald Padilla Reportedly Suspended from the Securities Industry According to public records on the Financial Industry Regulatory Authority (FINRA) website, the regulator reportedly suspended Donald Padilla on June 2, 2020, from association with any FINRA member in any capacity. [read post]
18 Jun 2010, 6:41 am
We love representing professionals in the financial services industry who need help with their non-compete agreements.Why do we feel such a kinship toward these professionals? [read post]
28 Mar 2024, 10:36 am
Juan Carlos Sosa Allegedly Converted Customer’s Funds According to a letter of acceptance on March 19, 2024, the Financial Industry Regulatory Authority (FINRA) has barred former SagePoint Financial advisor Juan Carlos Sosa (CRD#: 4059846) from associating with any FINRA member at any time. [read post]
22 May 2020, 2:24 am
Our clients are financial service innovators, including fintech companies, registered investment advisers (RIAs), broker-dealers and private fund managers. [read post]
23 Feb 2009, 8:14 am
“Katherine Vessenes is America’s best known authority on the legal, ethical and compliance issues facing financial advisors. [read post]
4 Apr 2012, 7:43 am
State Street is a Boston-based financial services company registered with FINRA. [read post]
