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28 Dec 2021, 2:49 pm
The Bureau’s complaint alleged that Access steered Maryland consumers to the attorney defendant so the attorney could satisfy a requirement of Maryland law that, for a court to approve a sale of a structured settlement, the consumer must submit a letter stating that he or she consulted with an independent financial advisor (IPA). [read post]
27 Dec 2021, 11:43 am
Banc of America Investment Services, Inc. [read post]
27 Dec 2021, 9:38 am
Ian Ha Infinity Financial Services AXA Advisors, LLC Gregory Hanshew Infinity Financial Services CIM Securities, LLC Jordan John TD Ameritrade, Inc. [read post]
27 Dec 2021, 7:12 am
Harold Harrison Lincoln Financial Advisors Corporation UBS Financial Services Inc. [read post]
27 Dec 2021, 2:20 am
The post A Calling to Educate and Influence: Audrey Treasure is Making a Difference appeared first on HR Daily Advisor. [read post]
27 Dec 2021, 2:20 am
The post A Calling to Educate and Influence: Audrey Treasure is Making a Difference appeared first on HR Daily Advisor. [read post]
24 Dec 2021, 6:26 am
, Proxy advisors, Proxy voting, SEC, SEC rulemaking, Securities litigation, Securities regulation, Shareholder voting ESG and 2021 Year-End Financial Reporting Season Posted by Maria Castañón Moats and Stephen G. [read post]
22 Dec 2021, 6:51 am
The sanctions, which were levied against the firm’s core Wells Fargo Clearing Services broker-dealer and Wells’ independent Financial Network unit, included almost $2.5 million in restitution and $650,000 in fines. [read post]
20 Dec 2021, 9:58 am
Supervisory Failures Allegedly Resulted in Unsuitable Trades and Rollovers Wells Fargo Clearing Services and Wells Fargo Advisors have arrived at a settlement with the Financial Industry Regulatory Authority (FINRA). [read post]
17 Dec 2021, 9:39 am
Former Ameriprise Financial Advisor is Named in Five Pending Customer Disputes James William Dunn, an ex-stockbroker and investment advisor in Vienna, VA with Ameriprise Financial Services, is under scrutiny over losses suffered by customers. [read post]
17 Dec 2021, 3:00 am
The House Committee on Transportation and Infrastructure’s report found the General Services Administration did not track foreign government payments to the hotel or identify the origins of more than $75 million in loans made by Trump and his family to shore up its troubled finances. [read post]
16 Dec 2021, 11:37 am
To accomplish this, the Biden administration seeks to heighten scrutiny of real estate transactions—a common vehicle for money laundering—and the “gatekeepers” to financial systems: notably lawyers, accountants, and trust and company service providers. [read post]
16 Dec 2021, 10:30 am
For more information on the firm’s investigation of Hospitality REITS, please see the following: Did your Financial Advisor Recommend Investing in Non-Traded REITs? [read post]
16 Dec 2021, 9:13 am
Public service announcements (“PSAs”) are also a potential issue, as candidate appearances in PSAs will trigger equal opportunities rights – potentially requiring free time to opposing candidates (who would not be limited to giving a public service message). [read post]
16 Dec 2021, 7:45 am
Government commits in the Strategy to devote additional human resources, financial capital, and diplomatic energy in the service of accelerating global anti-corruption efforts. [read post]
16 Dec 2021, 6:08 am
His skepticism over the employer’s good faith increased when the parent company posted a Mercedes-Benz service advisor job in January 2021 and wasn’t notified. [read post]
15 Dec 2021, 8:50 pm
So if someone is totally technophobic can say how can I turn a service into a product? [read post]
15 Dec 2021, 12:59 pm
They invested $200K in Northstar (Bermuda) at the recommendation of Bankoh Investment Services financial advisor Yoko Farias. [read post]
14 Dec 2021, 10:20 am
Unfortunately, there has been a rise in claims against unregistered financial advisors selling unregistered securities, which in many cases turn out to be Ponzi schemes. [read post]
14 Dec 2021, 9:00 am
The regulator censured and fined Wells Fargo Advisors Financial Network $100,000; and censured and fined Wells Fargo Clearing Services $550,000 plus $2.083 million in restitution. [read post]
