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20 May 2019, 9:11 am
Three customer disputes were filed on 11/21/2018, 12/16/2018 and 12/17/2018, all alleging unauthorized ACH transfers of funds into an American Express account, totaling $5,601,758.71. [read post]
28 Apr 2021, 7:38 am
Central American Retiree Worked with Louisiana-based Financial Advisor Robin Platt In his Financial Industry Regulatory Authority (FINRA) arbitration claim against Hancock Whitney Investment Services, Inc., a senior investor in Central America is seeking up to $5M in damages. [read post]
31 May 2023, 2:00 am
Simply consider the fact that more than 35.5 million Americans are enrolled in health savings accounts (HSAs) to manage healthcare expenses in 2022—a 9% increase since 2021. [read post]
6 Sep 2022, 6:37 am
At Gana Weinstein LLP, our attorneys are experienced representing investors who have suffered securities losses due to the mishandling of their accounts. [read post]
2 Aug 2017, 12:26 pm
In an earlier post, I explained how polling data on the Russia investigation underscores the degree to which partisanship taints Americans’ assessment of security politics.When asked about matters related to the Russia investigation, an overwhelming majority of Democrats consistently respond in a fashion that reflects deep suspicion of the activities of President Trump and his advisors. [read post]
11 Apr 2009, 4:16 pm
Amazingly, most Americans do not know that their financial advisors have a duty to ensure that their clients' assets are invested appropriately and in accordance with their investment objectives and risk tolerance. [read post]
19 Feb 2017, 3:42 am
Besides, they do not take into account the fact that the concept of constitutionalization can be in conflict with the principle of subsidiarity given that the first approach implies a hierarchical relation between the IACtHR and the States under its jurisdiction. [read post]
29 Nov 2021, 2:14 am
” The post Personal Life Experiences Drive Passion for DEI appeared first on HR Daily Advisor. [read post]
29 Nov 2021, 2:14 am
” The post Personal Life Experiences Drive Passion for DEI appeared first on HR Daily Advisor. [read post]
9 Jul 2019, 7:55 am
Financial Professionals Commit Malpractice TooInterestingly, comparatively few Americans realize that, under certain circumstances, they can sue their stock broker and his or her brokerage firm in the even that something goes wrong in the account. [read post]
1 Sep 2016, 8:01 am
Hotten, former financial advisor at Oppenheimer & Co. [read post]
19 Dec 2014, 7:54 am
Schorsch’s resignation follows the $24million dollar ARCP accounting error that was allegedly intentionally covered up a month and a half ago. [read post]
8 Feb 2012, 1:51 pm
For example, financial advisors registered through a FINRA registered broker-dealer are regulated by FINRA and any disputes arising from a financial advisors servicing of an investor’s account is generally arbitrated through FINRA dispute resolution, whereas RIAs are not currently regulated by FINRA and usually have their own dispute resolution clause – generally requiring claims to be filed through AAA (American Arbitration Association) or JAMS.… [read post]
27 Nov 2012, 10:22 am
It may be possible to use this approach for retirement accounts as well. [read post]
15 Sep 2020, 7:52 am
His previous employers include Edward Jones (CRD#:250) of Manchester, NH, American Express Financial Advisors Inc. [read post]
20 Feb 2009, 2:41 pm
According to reports by the Department of Justice, UBS concealed billions of American dollars in accounts held overseas despite requirements to report IRS income and other identifying information for its U.S. clients to the IRS. [read post]
18 May 2012, 10:56 am
Most people consider financial matters a private affair, and only talk about it with their spouse or their financial advisor; but when it comes to retirement and long-term care Americans just can’t afford to be silent any longer. [read post]
12 Feb 2015, 11:09 am
I was fortunate to have been appointed by the American Bar Association to be an advisor to the committee. [read post]
4 Feb 2015, 8:03 am
Some crimes or deceptions are committed by family, friends or trusted advisors. [read post]
31 Jul 2013, 11:39 am
In September 2012, Italy's highest court affirmed the in absentia convictions of 23 Americans, including De Sousa, and two Italians involved in Abu Omar's kidnapping and torture. [read post]
