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13 Sep 2018, 9:27 am
Taek Man Chong (CRD #1551743) is a previously registered broker and investment advisor who was last registered with Raymond James Financial Services, Inc. [read post]
29 Oct 2009, 10:42 pm
As has been reported by a number of groups the Private Fund Investment Advisors Act of 2009 was approved by the House Financial Services Committee by a vote of 67-1. [read post]
24 Dec 2019, 8:27 am
(CRD#:2525), also of Los Angeles, and UBS Financial Services Inc. [read post]
14 Nov 2012, 12:16 pm
It’s a nice organization composed of private fiduciaries, home healthcare service professionals, financial advisors, attorneys, accountants, appraisers — people that help other people in fiduciary or semi-fiduciary capacities. [read post]
22 May 2019, 1:09 pm
(CRD#:14035) of Bethesda, MD and Princor Financial Services Corporation (CRD#:1137) of Des Moines, IA. [read post]
13 Sep 2011, 2:29 pm
The Medallion Signature Guarantee is an accepted protocol within the Financial Services Industry whereby certified signature guarantors, usually affiliated with an established financial institution, serve as signature guarantors for certain financial documents requiring the heightened level of review, scrutiny and security offered by the Medallion Guarantee Signature Guarantee Program. [read post]
13 Sep 2011, 2:29 pm
The Medallion Signature Guarantee is an accepted protocol within the Financial Services Industry whereby certified signature guarantors, usually affiliated with an established financial institution, serve as signature guarantors for certain financial documents requiring the heightened level of review, scrutiny and security offered by the Medallion Guarantee Signature Guarantee Program. [read post]
8 Oct 2021, 8:50 am
U.S. companies, financial institutions, lawyers, and advisors who create these offshore accounts, trusts, and shell companies, do have due diligence and reporting obligations. [read post]
11 Feb 2014, 9:46 am
Lane, 59, Reno, NV, was employed as a financial advisor by Bank of America Investment Services. [read post]
6 Aug 2014, 5:14 am
It's a common refrain from elderly victims of financial services fraud. [read post]
20 Jul 2015, 3:15 am
Case In Point For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue NFP Advisor Services, LLC (f/k/a NFP Securities, Inc.) submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
23 Apr 2021, 3:54 am
Wells Fargo Clearing Services, LLC,... [read post]
15 Jun 2015, 3:13 am
In a recent published statement concerning his votes against two regulatory settlements by investment advisers Blackrock Advisors, LLC and SFX Financial Advisory Management Enterprises, Inc., Gallagher explains his concern about what he sees as dubious regulation through enforcement actions. [read post]
12 Jul 2019, 3:42 am
Also, Wells Fargo maintained the Financial Advisor Expense Manag... [read post]
7 Jul 2014, 6:07 am
(“Universata”) by HealthPort Technologies, LLC (“HealthPort”), held that the failure to obtain a fairness opinion in connection with the acquisition did not rise to the level of bad faith on the part of the board of directors of Universata (the “Board”) and did not support an aiding and abetting claim against the Board’s financial advisor. [read post]
31 Oct 2016, 4:48 am
In the financial services sector, however, the inevitability of death is a critical factor when implementing an investment strategy and estate planning. [read post]
10 Feb 2020, 10:42 am
On February 12, 2020, the House Financial Services Task Force on Artificial Intelligence will hold a hearing titled, “Equitable Algorithms: Examining Ways to Reduce AI Bias in Financial Services. [read post]
31 Jan 2024, 11:33 am
Insurance intermediaries and advisors will be required to proactively inform consumers about the amount of inducements they will receive from insurers before the end of the provision of the service. [read post]
10 Oct 2009, 7:32 am
I was surprised this week to receive an email from a financial advisor with whom I have had a long term relationship, and who I believe is an exceptional financial advisor, and has the credentials and industry recognition to establish him as one of the best. [read post]
31 Jan 2017, 1:59 pm
SSG Advisors, LLC and Chiron Financial LLC filed the lawsuit against Daybreak Oil and Gas Inc., claiming that Daybreak violated an agreement among the three companies. [read post]
