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22 Oct 2019, 10:26 am
According to FINRA Disciplinary actions for August 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Carolyn Andrews UBS Financial Services Morgan Keegan & Company Meiewyn Avent Alliance-One Investments Metlife Investors… [read post]
19 Jul 2022, 10:08 am
Rice described younger servicemembers as prime targets for bad actors, as they are inexperienced financially but have a steady paycheck. [read post]
7 Jun 2012, 5:00 am
Currey, Past President, National Association of Insurance and Financial Advisors Mr. [read post]
16 Mar 2020, 2:00 am
” The post IRS Designates Coronavirus Safe Harbor for HSA Holders appeared first on HR Daily Advisor. [read post]
26 Jan 2016, 6:05 am
Financial advisors and stockbrokers are under the obligation to make only suitable recommendations to their customers. [read post]
13 Dec 2010, 7:24 am
The “Protocol for Broker Recruiting” is a voluntary pact that many financial services firms have signed that provides the ground-rules for departing financial advisors. [read post]
11 Oct 2023, 8:12 am
Fish and Wildlife Service to wildlife whistleblowers. [read post]
21 Nov 2019, 2:07 pm
Nonetheless, the court observed that there is “judicial reluctance to restrict financial communications with their clients” because of the relationship of personal trust between clients and their financial advisors. [read post]
2 Aug 2016, 8:21 am
This second certification will effectively prevent municipal bond attorneys, underwriters and financial advisors from performing or facilitating any of the following activities in conjunction with local bond campaigns or ballot measures: fundraising; public opinion polling; election strategy and management; volunteer organization; get-out-the-vote services; development of campaign literature; or the production of advocacy materials. [read post]
9 May 2024, 3:08 pm
Global Predictions represented to the public that it was the “first regulated AI financial advisor” and that it actively utilized AI capabilities in the services offered to investors. [read post]
27 May 2020, 7:32 am
In the securities industry since 2008, he was previously registered with Berthel, Fisher & Company Financial Services, Inc. [read post]
16 Jun 2020, 6:40 am
For investors who have been defrauded by a financial advisor or others, FINRA arbitration is frequently the best place to secure a recover for losses. [read post]
14 Feb 2023, 9:00 am
The Alliance also develops tools and trainings for accountants, lawyers, and other advisors of food and farm businesses, creates a community of practice for farm advisors to network and learn from one another, and works to ensure sufficient funding is available for technical and business assistance across the food system. [read post]
1 Nov 2017, 4:13 am
Nonetheless, it seems reasonable to expect litigation arising out of recruiting in the financial services industry […] The post Timing of Morgan Stanley’s Broker Protocol Withdrawal Sends Shocks Through RIA Legal and Recruiting Circles, RIABiz, ft. [read post]
20 Apr 2013, 6:19 am
Jim is both an attorney and investment professional with a string of professional designations, and his book focuses on: Helping both employers and 401(k) participants better understand the financial service industry, and Doing so in a relatively short period of time. [read post]
22 Aug 2011, 10:10 am
The Broker Protocol (which we have written about many times before here, and here and here) is a gentleman's agreement in financial services wherein companies agree that their agents and employees may move from company to company, taking certain information with them, so long as (1) it is limited information allowed in the protocol and (2) both companies (new and old) are signatories of the protocol. [read post]
2 Feb 2010, 12:54 am
. **** February 1-2 Sponsor: Financial Research Associates Event: Investment Advisor Compliance and Hedge Fund Regulation and Compliance Location: New York, NY February 2 Sponsor: Eze Castle Integration Event: The Future & Implications of Hedge Fund Regulations Location: London February 2 Sponsor: 100 Women in Hedge Funds Event: Trivia Challenge and Fundraiser Location: London February 2 Sponsor: 100 Women in Hedge Funds Event: Securitisation -… [read post]
10 Nov 2014, 10:37 am
Many investors were recommended by their financial advisors to heavily invest in these funds and have watched their accounts be sent into free fall as a result. [read post]
28 Dec 2022, 2:04 am
The post Getting Employees to Prioritize Their Health for a Better 2023 appeared first on HR Daily Advisor. [read post]
15 Sep 2022, 2:20 am
Meet Brenda Leadley, North America Head of HR at Allianz Global Corporate & Specialty (AGCS) – a global, leading corporate insurance carrier and key business unit of financial services provider Allianz Group. [read post]
