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1 Nov 2021, 7:22 am
He was previously employed with Securian Financial Services located in Tulsa, Oklahoma from February 1991 until October 2012, according to his Brokercheck page. [read post]
1 Nov 2021, 7:22 am
He was previously employed with Securian Financial Services located in Tulsa, Oklahoma from February 1991 until October 2012, according to his Brokercheck page. [read post]
1 Nov 2021, 7:22 am
He was previously employed with Securian Financial Services located in Tulsa, Oklahoma from February 1991 until October 2012, according to his Brokercheck page. [read post]
29 Oct 2021, 10:00 am
We might be a lawyer, who as a financial advisor with a particular perspective. [read post]
29 Oct 2021, 8:07 am
Civil and Criminal Fraud Charges Filed against New Jersey Financial Advisor Kenneth Welsh According to the Securities and Exchange Commission on October 28, the regulator charged former Wells Fargo Advisors broker Kenneth A. [read post]
29 Oct 2021, 7:08 am
As an example, he noted that a principal advisor to a fund that would need to have fewer than 50 employees or annual revenue less than $25 million. [read post]
28 Oct 2021, 3:07 am
Tax Expat Tax Services. [read post]
28 Oct 2021, 2:12 am
The post 7 Steps HR Should Never Miss when Offboarding an Employee appeared first on HR Daily Advisor. [read post]
25 Oct 2021, 1:20 pm
Tuesday, October 26, 2021, at 10:00 a.m.: The House Financial Services Subcommittee on Investor Protection, Entrepreneurship, and Capital Markets will hold a hearing examining risks to investors and the U.S. posed by foreign issuers in U.S. markets. [read post]
25 Oct 2021, 2:17 am
Exec Sees Win-Win in Dropping Degree Requirements appeared first on HR Daily Advisor. [read post]
25 Oct 2021, 2:17 am
Exec Sees Win-Win in Dropping Degree Requirements appeared first on HR Daily Advisor. [read post]
22 Oct 2021, 7:48 am
Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have both recently issued warnings about broker and investment advisor imposter scams. [read post]
22 Oct 2021, 6:20 am
Posted by Harry DeAngelo (USC), on Wednesday, October 20, 2021 Tags: Capital structure, Cash flows, Corporate debt, Leverage, Liquidity Sustainability Reporting: A Gap Between Words and Action Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Wednesday, October 20, 2021 Tags: Climate change, Environmental disclosure, ESG, Institutional Investors, Proxy advisors, Say on… [read post]
22 Oct 2021, 4:00 am
Capitol voted to hold former Trump advisor Stephen Bannon in contempt for not cooperating with its inquiry, a significant escalation in the panel’s efforts to get answers about the insurrection from the political operative. [read post]
21 Oct 2021, 11:59 am
Murray was terminated by UBS Financial Services, Inc. on September 16, 2021, for outside business activity, including making investment recommendations and receiving commissions. [read post]
21 Oct 2021, 2:20 am
You may have a defense that exempting an employee from the program creates an “undue hardship” for your company, based on safety and/or financial concerns. [read post]
19 Oct 2021, 10:10 am
Businesses, their employee benefit plan fiduciaries, their employer and other sponsors, their record keepers, financial advisors and other service providers and other business partners face growing pressure to shore up cyber security and cyber breach compliance and other safeguards to defend against a slew of new and ongoing federal cyber security and breach regulatory and enforcement the Biden-Harris Administration is rolling out in its effort to stem the rising… [read post]
19 Oct 2021, 9:41 am
Cynthia Komarek (CRD#: 1188714, aka (Cynthia Ann Brown, Cynthia Brown-Komarek, Cynthia Brown Komarek, Cynthia Brown Pearson) is a former registered broker and investment advisor last employed with SagePoint. [read post]
18 Oct 2021, 1:13 pm
The event will feature Edward Alden, senior fellow at the Council on Foreign Relations; Meghan Benton, research director for the international program and MPI Europe at the Migration Policy Institute; Elizabeth Collett, special advisor to the director general at the International Organization for Migration; and Thomas Wright, Brookings director and senior fellow. [read post]
18 Oct 2021, 8:11 am
” “The Act is nascent proposed legislation that is still subject to refinement as it winds its way through the House Financial Services Committee. [read post]
