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31 Aug 2021, 11:38 am
(collectively, Cambridge); and KMS Financial Services Inc. [read post]
31 Aug 2021, 11:14 am
The Department of Financial Services supervises and regulates the activities of insurance companies and banking and financial institutions in New York. [read post]
31 Aug 2021, 10:06 am
has been nominated to lead the New York State Department of Financial Services as its next Superintendent. [read post]
31 Aug 2021, 10:06 am
has been nominated to lead the New York State Department of Financial Services as its next Superintendent. [read post]
30 Aug 2021, 11:18 am
Morgan Securities LLC served as financial advisor to Cellebrite, and White & Case LLP and Meitar Law Offices served as legal advisors to Cellebrite. [read post]
29 Aug 2021, 11:50 am
The Bankrate article includes comments from a financial advisor who acknowledges her industry is not geared to providing final expense products. [read post]
29 Aug 2021, 11:50 am
The Bankrate article includes comments from a financial advisor who acknowledges her industry is not geared to providing final expense products. [read post]
28 Aug 2021, 1:36 pm
There are trusted advisors who offer bookkeeping services to their clients to help combat the potential for financial abuse. [read post]
25 Aug 2021, 2:00 am
The post Goodbye to <em>Good Girls</em>: A Lesson on Avoiding Retaliation Claims appeared first on HR Daily Advisor. [read post]
23 Aug 2021, 1:08 pm
Silver Law Group specializes in fighting for investors who lost money to brokers and financial advisors who took advantage of their positions as trusted financial professionals to defraud their clients of hard-earned savings. [read post]
23 Aug 2021, 12:51 pm
SEC charged Advisor, Deeproot Funds and Policy Services Inc. [read post]
23 Aug 2021, 4:00 am
Retiree Suffers Significant Losses in PB Investment Holdings on Recommendation of Cetera Financial Advisor A Chinese national has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim over losses she suffered after a Cetera Investment Services advisor unsuitably recommended and sold a PB Investment Holdings annuity to her. [read post]
20 Aug 2021, 2:28 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Debasish Hajra from the securities industry for 30 calendar days. [read post]
20 Aug 2021, 10:14 am
This prompted a deficiency letter from Nasdaq in April 2021.Background On GWG Holdings And L Bonds GWG Holdings (GWGH) is a Dallas-based financial services firm that offers a variety of services including life insurance and alternative investments. [read post]
20 Aug 2021, 2:00 am
Morgan Stanley, its affiliates, and Morgan Stanley financial advisors and private wealth advisors do not provide tax or legal advice and are not “fiduciaries” (under the Employee Retirement Income Security Act (ERISA), the Internal Revenue Code, or otherwise) with respect to the services or activities described herein, except as otherwise provided in writing by Morgan Stanley and/or as described at www.morganstanley.com/disclosures/dol. [read post]
20 Aug 2021, 2:00 am
Morgan Stanley, its affiliates, and Morgan Stanley financial advisors and private wealth advisors do not provide tax or legal advice and are not “fiduciaries” (under the Employee Retirement Income Security Act (ERISA), the Internal Revenue Code, or otherwise) with respect to the services or activities described herein, except as otherwise provided in writing by Morgan Stanley and/or as described at www.morganstanley.com/disclosures/dol. [read post]
18 Aug 2021, 9:08 pm
Banks, insurance companies, financial advisors, and other providers of financial services now rely on advanced technology—such as artificial intelligence—to compete with fintech firms that are increasingly transitioning traditional markets toward new digital financial services. [read post]
18 Aug 2021, 1:21 pm
Why Financial Institutions Should Be Involved Brokers, investment advisors and transfer agents are the first to see these types of transactions. [read post]
18 Aug 2021, 6:43 am
Previous employers include Cetera Investment Services LLC (CRD#:15340), also of Tulsa, Bok Financial Securities, Inc. [read post]
17 Aug 2021, 2:00 am
The post SCOTUS Limits Scope of Cybersecurity Law appeared first on HR Daily Advisor. [read post]
