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SFSP Survey Of How Credentialed Professionals Feel About Regulating Use of Professional Designations
21 Dec 2007, 7:29 pm
Society members are credentialed financial service professionals who provide financial planning, estate planning, retirement counseling, asset management and other services and products to their clients. [read post]
10 Oct 2017, 6:03 am
Financial services company State Street Corporation has agreed to pay $5 million to settle OFCCP claims that the employer discriminated against 305 female and 15 black executive employees in its compensation practices. [read post]
23 Jan 2020, 3:16 pm
Peters, a registered investment advisor, defrauded clients by steering them to investments in which he had a personal financial interest, stole clients’ funds, and made misstatements to the SEC. [read post]
23 May 2019, 1:39 pm
His previous employers include UBS Financial Services Inc. [read post]
24 Apr 2015, 1:26 pm
This week, Cordell & Cordell posted a column by Principal Partner Joe Cordell for Financial Advisor Magazine explaining how critical it is to consider all the different financial ramifications of getting a divorce. [read post]
7 Jun 2024, 6:44 am
Morgan Securities LLC UBS Financial Services Inc. [read post]
12 May 2012, 4:25 am
., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for recommending these ETFs. [read post]
24 Dec 2019, 10:42 am
(CRD#:7684) and Ameriprise Financial Services, INC. [read post]
12 May 2012, 4:25 am
., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for recommending these ETFs. [read post]
1 May 2012, 8:08 pm
Good service provider due diligence is critical at any time but certainly if a plan sponsor is relying mostly on the capabilities of others, they need to feel confident that their advisors and consultants have a good handle on critical issues and potential solutions. [read post]
9 Jul 2008, 7:52 pm
(3 hours CE credit approved for Illinois Insurance Producers) Speakers: Jerry Kalish, National Benefit Services, Inc. [read post]
23 Nov 2020, 10:00 am
In June 2020, FINRA suspended financial advisor Micha W. [read post]
25 Jan 2013, 8:20 am
Our guest blog this week is by Sandra Ramos, a well known financial advisor in Barrie, Ontario. [read post]
25 Apr 2014, 6:30 am
Investors often rely on professional advisors like LPL Financial, which help them to diversify their portfolio while minimizing risk. [read post]
11 Mar 2013, 12:46 pm
Today, President Obama’s National Security Advisor, Thomas E. [read post]
28 Jul 2011, 10:06 am
Spencer Cosby, Jr., Chief Executive Officer of Sidus Financial, announced his proposed retirement and will continue serving Sidus as a senior advisor until his official retirement date of December 31, 2011. [read post]
20 Jan 2010, 10:38 pm
Courthouse News Service says that Salutric managed over $16 million through Results One. [read post]
1 May 2023, 8:42 am
(CRD#:594), BOSTON, MA, B, 11/16/2018 – 05/22/2020, MORGAN STANLEY (CRD#:149777), WILLIAMSVILLE, NY B, 12/06/2013 – 11/27/2018, UBS FINANCIAL SERVICES INC. [read post]
9 Jun 2023, 12:54 pm
According to his FINRA BrokerCheck report, Benjamin was reportedly affiliated with the following firms during his career: 07/29/2020 – 04/12/2022, RAYMOND JAMES FINANCIAL SERVICES, INC. [read post]
10 Apr 2024, 8:29 pm
Our clients include a San Diego couple who are suing Infinity Financial Services and La Jolla, CA-based financial advisor Anna Marie Ocampo Lovell for up to six figures in damages. [read post]
