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25 Mar 2020, 11:55 am
As COVID-19 continues to impact financial markets, companies should work with legal advisors to fully evaluate how outstanding trades and hedge relationships may be affected. [read post]
26 Jun 2019, 1:06 pm
Smith previously served as a managing director at Patomak Global Partners LLC, where she advised financial services firms, including broker-dealers, exchanges, banks, and asset managers, and public companies on regulatory policy, corporate governance, and compliance matters. [read post]
11 Jan 2019, 12:14 pm
Department of Health and Human Services, 136 S. [read post]
26 Sep 2014, 9:38 am
Monika Ambrus (Educational Testing Service), Karin Arts (Erasmus Universiteit Rotterdam), Ellen Hey (Erasmus Universiteit Rotterdam), & Helena Raulus (Erasmus Universiteit Rotterdam) have published The Role of ‘Experts' in International and European Decision-Making Processes: Advisors, Decision Makers or Irrelevant Actors? [read post]
14 May 2008, 7:38 am
For me, there's all the difference between knowing how to be friendly with clients and actually being friends who socialize regularly.But others, I think, might vote differently.What do the rest of you lawyers, consultants, accountants, financial planners and other advisors out there think? [read post]
23 Oct 2018, 11:54 am
Kaufman Dolowich & Voluck David Baugh, Gregg Breitbart and Mark Quinn of Cetera FINRA Hot Topics Roundtable Discussion – BD/RIAs most pressing issues and sharing war stories David Baugh – Kaufman Dolowich & Voluck The IBDC was created to provide Independent Broker Dealers and Registered Investment Advisors access to a community of professionals with demonstrated expertise in services geared to this specific financial community. [read post]
2 Feb 2018, 1:51 pm
The international financial institution is hiring a Program Analyst to work for its Ombuds Services and the Respectful Workplace Advisors Program. [read post]
17 Oct 2010, 6:44 pm
What services do you offer? [read post]
13 Jun 2022, 12:23 pm
(CRD#:39262), Westlake Village, CA 03/15/2004 – 04/02/2013, CUSO FINANCIAL SERVICES, L.P. [read post]
23 Dec 2011, 8:57 am
Department of Justice’s Antitrust Division and the Internal Revenue Service. [read post]
8 Aug 2018, 2:00 am
appeared first on HR Daily Advisor. [read post]
8 Aug 2018, 2:00 am
appeared first on HR Daily Advisor. [read post]
5 Sep 2018, 9:01 am
She resigned from Northwestern on 01/19/2017, and began as a registered representative in the financial industry in 2010. [read post]
25 May 2018, 11:57 am
He is not currently registered with any financial service-related firm. [read post]
12 Jul 2018, 6:06 am
The securities attorneys at Gana Weinstein LLP are investigating claims against UBS Financial Services Inc. [read post]
13 Nov 2009, 2:34 pm
Personal advisors can be reached by calling 1-888-845-5669. [read post]
13 Sep 2021, 12:39 pm
(CRD#:30349), DALLAS, TX 02/21/2003 – 07/14/2006, UBS FINANCIAL SERVICES INC. [read post]
23 Aug 2023, 10:32 am
Lexington denied coverage arguing that the policy’s impersonation fraud endorsement did not provide coverage because the Registered Financial Advisor impersonated in the fraudulent emails was not a “Vendor. [read post]
3 Aug 2023, 11:22 am
., (CRD#: 7461/SEC#: 801-42017,8-21770 ) headquartered in Atlanta, GA, is a full-service broker-dealer and registered investment advisor. [read post]
30 Mar 2020, 2:22 pm
Last month Wells Fargo Advisors Financial Network LLC agreed to settle administrative charges brought by the SEC, and will pay a $35 million civil penalty in order to resolve the matter. [read post]
