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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]
23 Oct 2024, 9:05 am
Wells Fargo Clearing Services, LLC Joseph Todaro Network 1 Financial Securities Inc. [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]
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]
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]
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]
10 Mar 2021, 1:44 pm
Warner has recently been associated with the following financial institutions: Chelsea Financial Services (2017 – 2019), Dominion Investor Services, Inc (2017), IFS Securities (2014 – 2017), NFP Advisor Services, LLC (2013 – 2014), and LPL Financial, LLC (2003 – 2013). [read post]
27 Aug 2014, 2:53 pm
In our increasingly digital world, financial advisors and estate planning attorneys now recommend four steps to properly manage one’s digital assets: 1) identify and inventory all digital assets, 2) appoint a trustee for those assets, 3) provide access, such as passwords, to that trustee, and 4) provide instructions for distributing those assets. [read post]
18 Mar 2009, 4:01 pm
Siegelman has alleged that his prosecution was spurred by the Republican party, especially former White House advisor Karl Rove. [read post]
28 Jan 2016, 2:56 pm
According to InvestmentNews, only about 12% of financial advisors have any type of disclosure event on their records. [read post]
13 Dec 2023, 1:39 pm
Financial Services: Financial advisors, investment managers, and brokers have fiduciary duties to their clients. [read post]
14 Oct 2021, 11:58 am
FINRA Bars Nick Palumbo after Allegations of “Selling Away” According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Nicholas R. [read post]
