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8 Nov 2021, 4:08 am
Robo-advisors offered by many large financial service firms typically cost 0.25% to 0.5% of AUM. [read post]
8 Nov 2021, 2:00 am
Department of Health and Human Services (HHS) through the OCR and the U.S. [read post]
8 Nov 2021, 2:00 am
Department of Health and Human Services (HHS) through the OCR and the U.S. [read post]
5 Nov 2021, 5:49 am
, Long-Term value, Pay for performance, Proxy advisors, Proxy voting, Surveys The State of U.S. [read post]
5 Nov 2021, 12:59 am
While the firm reportedly found that the customer acknowledged the financial information provided to her was accurate, the dispute is still shown as pending as of the date of this article. [read post]
5 Nov 2021, 12:59 am
While the firm reportedly found that the customer acknowledged the financial information provided to her was accurate, the dispute is still shown as pending as of the date of this article. [read post]
5 Nov 2021, 12:59 am
While the firm reportedly found that the customer acknowledged the financial information provided to her was accurate, the dispute is still shown as pending as of the date of this article. [read post]
4 Nov 2021, 1:29 pm
Former New Jersey Financial Advisor Allegedly Targeted Florida Doctors James Alan Seijas, an ex-Wells Fargo Clearing Services broker, was barred by the Financial Industry Regulatory Authority (FINRA) beginning November 2, 2021. [read post]
4 Nov 2021, 9:29 am
Always check your state’s rules; if your state or local bar offers the services of a practice management advisor, check in with them. [read post]
4 Nov 2021, 6:08 am
Insufficient disclosure persists even though (1) the SEC’s Regulation S-K and Regulation S-X require corporations to disclose material financial information to their investors; (2) a 2010 SEC guidance document clarified that climate damages “can have a material effect on a registrant’s business and operations”; and (3) major investors—including behemoths like BlackRock and State Street Global Advisors—have confirmed that climate risks are… [read post]
3 Nov 2021, 12:34 pm
FINRA Suspends & Fines Broker Brian Pearce after Allegations of Selling Away According to public disclosures from the Financial Industry Regulatory Industry (FINRA), the regulator has suspended financial advisor Brian Stanley Pearce (CRD # 1334784) from the securities industry for allegations of private securities transactions also known as “selling away. [read post]
3 Nov 2021, 11:43 am
Chicago-based Stoltmann Law Offices has represented investors who’ve suffered investment losses as a result of negligence, breach of fiduciary duty, and other violations by UBS Financial Services and its financial advisors. [read post]
3 Nov 2021, 8:30 am
Parent companies in the financial services sector account for £4.5 billion in penalties, followed by aerospace at £1.6 billion and telecommunications at £1.2 billion. [read post]
3 Nov 2021, 8:07 am
FINRA Bars James Seijas after Allegations involving Q3 Trading Club Ponzi Scheme According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former financial advisor James Seijas (CRD#: 2392901) when he failed to provide information in its investigation after Seijas was “named as a defendant in a lawsuit alleging that he had misrepresented investments as part of a Ponzi scheme. [read post]
3 Nov 2021, 7:46 am
His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. [read post]
3 Nov 2021, 6:40 am
This acquisition also enables Smarsh to better serve our cross-border financial services customers and to expand our footprint in other heavily regulated industries. [read post]
2 Nov 2021, 1:57 pm
Elder financial fraud takes many forms and financial advisors have unique insight into their clients financial and personal lives. [read post]
2 Nov 2021, 2:24 am
Financial advisors have a fiduciary duty to put their client’s needs ahead of their own. [read post]
1 Nov 2021, 1:34 pm
Wednesday, November 3, 2021, at 10:00 a.m.: The House Financial Services Subcommittee on Consumer Protection and Financial Institutions will hold a hearing on cyber threats, consumer data and the financial system. [read post]
1 Nov 2021, 1:28 pm
Senior Citizens Were Among Former Fairfield, NJ Financial Advisor’s Alleged Victims Kenneth Andrews Welsh, an ex-Wells Fargo Clearing Services broker, is now facing Securities and Exchange Commission (SEC) charges accusing him of misappropriating at least $2.86 million from brokerage firm customers and advisory clients. [read post]
