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IOSCO thematic review on suitability requirements for the distribution of complex financial products
27 Sep 2019, 4:18 am
Additionally, new suitability-related challenges have appeared with the advance of FinTech developments in respect of digital advisors and online platforms. [read post]
21 Nov 2019, 10:27 am
And, earlier this month, she was awarded the Distinguished Service Award from the American Agricultural Law Association (AALA). [read post]
15 Jan 2018, 9:55 am
Kevin Wanner Reportedly Reaches Plea Agreement According to reports, Woodbury Financial Services Inc., of Oakdale, Minnesota has agreed to pay back money to victims of an investment fraud scheme allegedly operated by Kevin Wanner of Bismark, ND. [read post]
4 Mar 2020, 6:16 am
Wells Fargo Advisors Financial Network and Wells Fargo Clearing Services recently agreed to pay $35M to settle US Securities and Exchange Commission (SEC) claims. [read post]
3 Jan 2012, 4:26 pm
Gibbs has been named the first Director of the SEC’s Office of Minority and Women Inclusion, which was mandated by the Dodd-Frank Act so that the federal financial regulators would each establish an office devoted to workforce diversity, the use of minority and women-owned service providers, and the assessment of the diversity policies and practices of the businesses each regulates. [read post]
28 Aug 2018, 11:20 am
M & T Securities, Inc Vincent Canzoneri Sigma Financial Corporation Ameriprise Financial Services, Inc Barry Connell Morgan Stanley UBS Financial Services Inc Charles Cox Wells Fargo Advisors, LLC Chase investment Services Corp Shane Dawkins Westpark Capital Joseph Stone Capital LLC Mark Flanagan Citigroup Global Markets Inc… [read post]
25 Nov 2021, 8:56 pm
This briefing will be of interest to financial sponsors, corporate finance advisors, in-house transactional legal teams and those working within the financial services industry generally. [read post]
24 Nov 2021, 6:56 am
This briefing will be of interest to financial sponsors, corporate finance advisors, in-house transactional legal teams and those working within the financial services industry generally. [read post]
12 May 2010, 6:35 am
The Wall Street Journal is reporting that two financial advisers have been ordered to pay nearly $1.9 million to the advisers' former employer, Chicago-based Mesirow Financial Holdings, Inc., and two of its divisions that alleged breach of contract and theft of trade secrets.The award by an arbitration panel of the Financial Industry Regulatory Authority included a rare dissent by the three-person panel's chairman. [read post]
10 Oct 2022, 1:07 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Kirk Badii (Badii) has at least eight disclosable events. [read post]
8 Feb 2012, 4:00 am
For example, FA News reported this week on a criminal case involving a financial advisor who apparently took advantage of a client who had cerebral palsy. [read post]
22 Jul 2024, 3:30 am
Her journey from financial services to DEIB leadership highlights her commitment to creating equitable environments. [read post]
22 Jul 2024, 3:30 am
Her journey from financial services to DEIB leadership highlights her commitment to creating equitable environments. [read post]
9 Apr 2020, 2:00 am
Did you utilize legal services when setting up your employee loan program? [read post]
1 Oct 2014, 10:46 am
John Hancock, in which the Court held that John Hancock’s role as an advisor and service provider for a company 401(k) plan, by which it helped select fund options and administer participant investments, did not render it a functional fiduciary under ERISA for purposes of an excessive fee claim. [read post]
27 Jan 2017, 12:53 pm
From July 2010 until June 2014, Sorensen was associated with Signator Financial Services, Inc. [read post]
24 Jan 2011, 7:15 am
Filed under: financial regulation, securities regulation [read post]
6 Feb 2019, 1:34 pm
Robert Edward White (CRD #3077959) is a former registered broker whose last employer was Raymond James Financial Services, Inc. [read post]
6 Mar 2014, 5:00 am
Berks County Board of Assessment Appeals, the Trial Court found that neither the provision of free services to resident advisors (which the Trial Court characterized as a management expense) nor the donation of surplus revenue to ESU demonstrated that UPI donated or rendered gratuitously a substantial portion of its services. [read post]
30 Mar 2018, 3:51 am
She has nearly 30 years’ experience as a writer/editor of financial services news. [read post]
