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17 Mar 2022, 2:08 pm
The Superior Court of Alameda County (UBS Financial Services, Inc.). [read post]
17 Mar 2022, 9:04 am
By way of background, Council Regulation (EU) No 833/2014 defines “investment services” as: (i) reception and transmission of orders in relation to one or more financial instruments; (ii) execution of orders on behalf of clients; (iii) dealing on own account; (iv) portfolio management; (v) investment advice; (vi) underwriting of financial instruments and/or placing of financial instruments on a firm commitment basis; (vii) placing of financial… [read post]
16 Mar 2022, 11:23 am
Prosecutors contend that from April 2018 to November 2020, when Rivero was working as a Wells Fargo financial advisor, he misappropriated at least $529K from four customers. [read post]
16 Mar 2022, 10:04 am
Marshal service notified him that he had been fired. [read post]
16 Mar 2022, 8:28 am
Still, here it is and all Welsh landlords and their advisors will need to come to grips with it. [read post]
15 Mar 2022, 12:18 pm
., New Jersey Financial Advisor Allegedly Steals $529,870 from Clients According to an article in Financial Advisor IQ today, a former financial advisor, Mario Rivero Jr., is facing charges that he defrauded advisory clients out of more than half a million dollars. [read post]
15 Mar 2022, 11:19 am
Leverage the Team Approach Let us work with you, your business advisors or consultants, your tax advisor, and your financial advisor to develop a comprehensive retirement, business transition, and estate planning strategy. [read post]
15 Mar 2022, 3:00 am
Danny: I'm Danny O'Brien, special advisor to the Electronic Frontier foundation. [read post]
14 Mar 2022, 7:28 am
At a high level, the Administration’s intentions repeated throughout the Executive Order and the Fact Sheet are to: protect consumers, investors, and businesses in the United States; protect United States and global financial stability and mitigate systemic risk; mitigate the illicit finance and national security risks posed by misuse of digital assets; reinforce United States leadership in the global financial system and in technological and economic competitiveness,… [read post]
14 Mar 2022, 7:25 am
Chicago-based Stoltmann Law Offices represents investors who’ve suffered losses from being scammed by their financial advisors and the firms for whom they work. [read post]
12 Mar 2022, 7:27 am
Forkey also represents South American, Canadian and other foreign residents that do business with U.S. financial institutions, investment advisors, brokerage and precious metal firms. [read post]
11 Mar 2022, 11:36 am
Duties include: (1) providing advice and services related to regulatory and environmental law, tribal law, civil works planning, federal procurement law, non-contractual or contractual claims, personnel and discrimination law, litigation matters, general law and preventive law; (2) drafting resolutions, motions and ordinances for tribal law; (3) interpreting regulations, laws and policies; (4) identifying potential conflicts and issues, conducting necessary legal… [read post]
11 Mar 2022, 6:28 am
Arrow Financial Services, LLC, the plaintiffs’ bar regularly includes in its autodialer complaints an allegation that text messages are calls for purposes of applying and construing the TCPA. [read post]
10 Mar 2022, 2:05 am
To be competitive in the war for talent, companies need to step up with better healthcare, continued education and certifications, unrestricted emergency savings vehicles, access to short-term financial liquidity, robust retirement matches, ready access to mental health services, safe spaces to deal with addictions, inclusive work environments, and many more things to foster the holistic wellness of each employee. [read post]
9 Mar 2022, 7:47 pm
Aside from the added SEC requirements directly applicable to market participating or influencing companies, the protections intended to protect investors against undisclosed or improperly managed cyber-related risks to their investments also are likely to impact the cybersecurity practices of organizations that provide investments or investment related services with respect to employee benefit plans and the disclosures they provide. [read post]
9 Mar 2022, 1:01 pm
Biden’s top economic and national security advisor reported that the new executive order “establishes the first comprehensive federal digital assets strategy for the United States. [read post]
9 Mar 2022, 9:03 am
(e) We must promote access to safe and affordable financial services. [read post]
9 Mar 2022, 7:09 am
Already under investigation by the SEC and behind on financial reporting, in January, 2022 the Dallas, Texas-based financial services company announced in a form 8-K filed with the SEC that it would not pay investors dividends owed for January. [read post]
9 Mar 2022, 2:10 am
The post Trust but Verify: Lessons Learned from “Inventing Anna” appeared first on HR Daily Advisor. [read post]
8 Mar 2022, 12:10 pm
Cole-Frieman & Mallon LLP Cole-Frieman & Mallon LLP is one of the top investment management law firms in the United States, known for providing top-tier, innovative, and collaborative legal solutions for complex financial services matters. [read post]
