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9 Nov 2012, 7:42 pm
FINRA arbitration lawyer William Shepherd, however, disagrees: “It is true that financial advisors are held to a fiduciary standard by statute, but securities brokers are often held to a ‘common law’ fiduciary standard. [read post]
2 Feb 2021, 9:18 am
See Triad Advisors, Inc. [read post]
28 Jul 2011, 6:29 am
SEC reviews of certain financial sales practices may also reflect these influences. [read post]
7 Jan 2019, 2:00 am
This is particularly poignant when you consider the finding that the financial services sector has more training opportunities overall. [read post]
27 Oct 2018, 1:00 am
For more information, visit Medina Law Group or Palante Wealth Advisors. [read post]
30 Jun 2020, 6:49 am
SEC Regulation “Best Interest” Is In Effect Reg BI Imposes a Fiduciary Duty On Stockbrokers Brokers Must Put Their Customers’ Interests First Change is coming to the roughly 300,000 stockbrokers and financial advisers who sell Mom and Pop investors financial services and products. [read post]
17 Apr 2009, 3:53 pm
A financial advisor left his job with a large bank to go serve in the Air Force Reserve for two years. [read post]
14 Jul 2009, 6:28 am
Ameriprise Financial Services has agreed to pay over $17 million to settle Securities and Exchange Commission charges that it sold investments without disclosing that it was being paid by the investment company to sell the investment, according to a July 11 article by the Associated Press published in the New York Times. [read post]
6 Jun 2019, 10:20 am
According to reports, the Securities and Exchange Commission on Wednesday adopted a four-part package of regulations, including Regulation Best Interest, aimed at reforming investment advice standards for brokers and financial advisors. [read post]
21 Feb 2019, 12:20 pm
” According to his FINRA broker record, Riquier was a registered representative with United Planners Financial Services of America for 26 years. [read post]
20 Sep 2011, 2:02 pm
(“Pointe”) of Boca Raton, Florida, $300,000.00 for mischaracterizing a portion of the commission charges as fees for handling services. [read post]
3 Jun 2013, 11:43 am
Garry Reeder, chief of staff; Chris Haspel, senior advisor for mortgage servicing and securitization; and regulatory senior counsel Mitchell Hochberg will join the firm founded by former CFPB deputy director Raj Date. [read post]
29 Nov 2023, 2:23 pm
(CRD#:5685), Alpena, MI, B, 03/25/2017 – 02/09/2018, MML INVESTORS SERVICES, LLC (CRD#:10409), ALPENA, MI B, 10/08/2007 – 03/25/2017, MSI FINANCIAL SERVICES, INC. [read post]
12 Jun 2024, 1:41 pm
KOHN & COMPANY (CRD#:27913), CINCINNATI, OH, B, 11/11/2005 – 10/19/2023, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691), BLOOMFIELD HILLS, MIB, 10/29/1999 – 12/02/2005, UBS FINANCIAL SERVICES INC. [read post]
19 Feb 2021, 11:25 am
(CRD#:10111) of Duluth, Georgia and Raymond James Financial Services, Inc. [read post]
26 Apr 2018, 3:59 am
She has nearly 30 years’ experience as a writer/editor of financial services news. [read post]
26 Apr 2018, 3:59 am
She has nearly 30 years’ experience as a writer/editor of financial services news. [read post]
20 May 2020, 2:25 pm
Fagenson, David Newbridge Securities Corp UBS Financial Services Inc. [read post]
23 Mar 2023, 8:53 am
Working for another financial services firm in a capacity that is not related to the representative’s work at their registered firm. [read post]
23 Apr 2014, 6:36 am
Variable annuities are also high sales commission products for financial advisors and sometimes advisors push these products on persons who do not need them or cannot benefit from them. [read post]
