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6 May 2021, 2:00 am
The post Build the Muscle to Innovate with Trust appeared first on HR Daily Advisor. [read post]
4 May 2021, 9:09 am
His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. [read post]
3 May 2021, 2:25 pm
Scott Reed (Scott Wayne Reed CRD# 3007033) is a previously registered broker and investment advisor whose most recent employer was First Financial Equity Corporation (CRD#: 16507). [read post]
3 May 2021, 2:00 am
The post How to Make Financial Health Equity Part of Your Broader DEI Strategy appeared first on HR Daily Advisor. [read post]
3 May 2021, 2:00 am
The post How to Make Financial Health Equity Part of Your Broader DEI Strategy appeared first on HR Daily Advisor. [read post]
30 Apr 2021, 1:35 pm
As whistleblower reward programs have extended beyond the traditional arena of the False Claims Act and its focus on fraud in government procurement and into the realm of the agency programs where the IRS, SEC, CFTC, DOT and FINCEN reward whistleblowers who provide tips that trigger a successful enforcement action, Mary noted the concept of who can be an eligible whistleblower has also evolved, expanding beyond the archetypal whistleblower insider who works at the target company and sees the… [read post]
30 Apr 2021, 12:39 pm
Fidelity Investments Charitable Gift Fund (2021)).Payments for services provided by disqualified person, by means of disregarded entities, to private foundation to enable it to offer “charitable consulting” services and investment services to foundation and other charities ruled to not be acts of self-dealing because the payments are sheltered by the personal services exception (PLR 201937003). [read post]
30 Apr 2021, 3:58 am
There's Raymond James Financial Services, Inc. [read post]
30 Apr 2021, 3:58 am
Raymond James Stuck With Unappealing FINRA Arbitration (BrokeAndBroker.com Blog)Owner of Currency Exchange House Pleads Guilty to Intentionally Violating Anti-Money Laundering Laws (DOJ Release)Financial Advisor Sentenced to More Than 13 Years in Prison for Swindling Investors Out of $5.1 Million (DOJ Release)Fugitive Guatemalan Man Indicted for Wire Fraud (DOJ Release)The Elderly Customer, The Will, The Stockbroker, The Complaining Brother, And The Post-Mortem Wires and Checks… [read post]
28 Apr 2021, 10:13 am
Duties of a Lawyer A lawyer may choose to offer their legal services in different fields, such as becoming a company consultant or government advisor. [read post]
28 Apr 2021, 7:38 am
Central American Retiree Worked with Louisiana-based Financial Advisor Robin Platt In his Financial Industry Regulatory Authority (FINRA) arbitration claim against Hancock Whitney Investment Services, Inc., a senior investor in Central America is seeking up to $5M in damages. [read post]
28 Apr 2021, 2:00 am
Savi is a student loan benefit provided by leading employers, financial institutions, and membership groups. [read post]
27 Apr 2021, 5:15 pm
Covered group health plans generally include all group health plans sponsored by private-sector employers or employee organizations (unions) subject to the COBRA rules under the Employee Retirement Income Security Act of 1974 (ERISA); group health plans sponsored by State or local governments subject to the continuation provisions under the Public Health Service Act and group health insurance required to comply with state mini-COBRA laws. [read post]
26 Apr 2021, 9:32 am
The committee will hear testimony from Douglas Glenn, deputy chief financial officer for the Defense Department; Wesley Miller, senior official performing the duties of the assistant Army secretary for financial management; Alaleh Jenkins, senior official performing the duties of the assistant Navy secretary for financial management; and Stephen Herrera, principal deputy assistant secretary of the Air Force for financial management. [read post]
26 Apr 2021, 2:00 am
The post Improving Diversity in Remote Work Environment appeared first on HR Daily Advisor. [read post]
26 Apr 2021, 2:00 am
The post Improving Diversity in Remote Work Environment appeared first on HR Daily Advisor. [read post]
23 Apr 2021, 3:54 am
Wells Fargo Clearing Services, LLC,... [read post]
22 Apr 2021, 7:11 am
Do you have a family member who is also your stockbroker, investment advisor, or other financial services representative? [read post]
22 Apr 2021, 6:48 am
According to newsources, a study revealed that 7.3% of financial advisors had a customer complaint on their record when records from 2005 to 2015 were examined. [read post]
22 Apr 2021, 6:15 am
Broker-dealers under the Advisor Group (which includes SagePoint Financial, Royal Alliance Associates Inc., Triad, Woodbury Financial Services, and FSC Securities) have increased legal reserves by about $4.4 million compared to the prior year, according to SEC filings. [read post]
