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8 Mar 2022, 8:18 am
Securities Arbitration Arbitration through FINRA requires the selection of neutral arbitrators through FINRA’s Dispute Resolution Services. [read post]
8 Mar 2022, 8:10 am
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]
7 Mar 2022, 12:43 pm
GWG is a financial services firm based in Dallas that owns and manages a diverse portfolio of life insurance policies that included some $1.8 billion in face value of life insurance policy benefits. [read post]
7 Mar 2022, 10:31 am
For more information, please see: JP Morgan Securities Hit with $125 Million for Widespread Recordkeeping Failures Registered Investment Advisor (RIA) – Securities Fraud Attorneys Potential to Recover Financial Losses If you are concerned about your investments with, please call the securities attorneys of The White Law Group at 888-637-5510 for a free consultation. [read post]
7 Mar 2022, 8:44 am
GWG L Bonds GWG Holdings (GWGH) is a Dallas, Texas-based financial services company that offers life insurance and alternative investments. [read post]
7 Mar 2022, 8:22 am
CRD#: 6084258) is a former registered broker and investment advisor whose last known employer was Ameriprise Financial Services, LLC (CRD#:6363) of Vienna, VA. [read post]
4 Mar 2022, 1:47 pm
OFAC designated additional elites as well as the senior executives of several major Russian financial institutions on Feb. 24 and—following the lead of the European Union—blocked Putin’s assets and those of several of his senior advisors, including Foreign Minister Sergey Lavrov, on Feb. 25. [read post]
4 Mar 2022, 6:01 am
Elovitz, Schulte, Roth & Zabel LLP, on Friday, February 25, 2022 Tags: Disclosure, Financial reporting, Form PF, Hedge funds, Investment advisers, Private equity, Private funds, SEC, Securities regulation ESG: 2021 Trends and Expectations for 2022 Posted by Greg Norman and Simon Toms, Skadden, Arps, Slate, Meagher & Flom LLP, on Friday, February 25, 2022 Tags: Climate change, Diversity, ESG, Human… [read post]
4 Mar 2022, 2:00 am
At Lendmark Financial Services, we’re addressing this by piloting more part-time positions. [read post]
3 Mar 2022, 9:32 pm
Stamer’s work throughout her 30 plus year career has focused heavily on working with health care and managed care, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with legal and operational compliance and risk management, performance and workforce management, regulatory and public policy and… [read post]
3 Mar 2022, 10:19 am
”The issuer may use the Rule 701(c) exemption for securities issued to consultants and advisors only if: (1) the consultants or advisors are natural persons; (2) the consultants or advisors provide bona fide securities to the issuer, its parents, its majority-owned subsidiaries or majority-owned subsidiaries of the issuer’s parents; and (3) the services are not in connection with a securities offer or sale in a capital-raising transaction, and do not… [read post]
3 Mar 2022, 8:01 am
Morgan, alongside other financial services institutions, is employing AI for a range of use cases including anomaly detection, intelligent pricing and document analysis. [read post]
25 Feb 2022, 12:12 pm
Duties include: (1) Developing strategies and recommendations related to human health and the environment in Indian Country; (2) Working with American Indian Environmental Office (AIEO) Senior Advisors in [read post]
25 Feb 2022, 10:49 am
Section 106 of Division Q of the financial services title of the FY21 appropriations legislation required the SEC to study the availability of research on small issuers. [read post]
25 Feb 2022, 8:19 am
Hoffman with fraud in connection with recommendations he made to clients while working as an investment advisor with Ameriprise Financial Services. [read post]
24 Feb 2022, 9:01 pm
Therefore, relative to an applicant who would qualify for financial aid, every student who enrolls without financial need saves the college about $44,000 per year or about $176,000 over the course of four years. [read post]
24 Feb 2022, 2:29 pm
Customer Complaints Allege James Dunn, Ameriprise Broker, made Unauthorized Trades According to public records from the Financial Industry Regulatory Authority (FINRA), financial advisor James William Dunn, Jr. [read post]
23 Feb 2022, 1:17 pm
” GWG’s L Bonds GWG Holdings is a Dallas-based financial services firm that offers a variety of services including life insurance and alternative investments. [read post]
22 Feb 2022, 1:58 pm
Morgan Securities LLC Thomas Hagan Morgan Stanley Wells Fargo Advisors, LLC Forrest Jones Merrill Lynch, Pierce, Fenner & Smith Incorporated Fortune Financial Services, Inc. [read post]
22 Feb 2022, 1:23 pm
Robert Satterfield Morgan Stanley UBS Financial Services Inc. [read post]
