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26 Mar 2009, 8:00 am
The House of Representatives Financial Services Committee has endorsed a measure that would give the Treasury Department the authority to determine whether the public should become outraged over executive bonuses for TARP participants. [read post]
28 Jul 2010, 9:28 am
Such service providers include many of the following: - a corporate law attorney specializing in employment, contracts, intellectual property, litigation and other corporate issues; - a CPA for your business accounting and tax services; - an insurance broker for your business liability, E&O, and other insurance needs; - a banker with whom you have a personal relationship with; - a financial advisor for your 401K, retirement and other accounts; - an IT… [read post]
17 May 2022, 4:51 am
Financial services: Will financial advisors have to comply with disclosure obligations in Article 6(2) SFDR for the provision of investment advice as “a whole”, as well as any financial instrument as defined by MiFID II. [read post]
27 Apr 2017, 11:53 am
Gonzalez Have you suffered losses investing with former financial advisor Jose R. [read post]
13 May 2019, 9:37 am
According to news reports on May 1, Thomas Lagan, financial advisor and lawyer, has reportedly pleaded guilty to stealing $9 million from Capital Region philanthropists. [read post]
6 Aug 2013, 8:22 am
The UBS Paulson Advantage Fund is a feeder fund that was recommended and sold by UBS Financial Services to its brokerage customers to invest in the Paulson & Co. [read post]
27 Jun 2019, 3:45 am
Financial terms of the acquisition were not disclosed. [read post]
21 Jun 2017, 8:50 am
Lech-Loubet is currently registered with UBS Financial Services, Inc. [read post]
19 Nov 2019, 2:00 am
At Advance Financial, customer service lives at the core of our company values. [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]
8 Jan 2021, 12:29 pm
You know, I began my career as an estate planning attorney, and then we began doing financial services for people and helping people in retirement, but when I was focusing on estate planning, we would review a lot of people’s Powers of Attorney to figure out whether or not they were documents that we could keep in their plan or things that we needed to replace as we were drafting new documents. [read post]
4 Apr 2019, 6:14 am
“As financial technologies, methods of capital formation, and market structures continue to evolve, market participants should be aware that they may be conducting activities that fall within our jurisdiction,” said CorpFin Director Bill Hinman and FinHub Senior Advisor Valerie Szczepanik. [read post]
5 Jul 2022, 8:39 am
Ameriprise Financial Services, Inc. [read post]
13 Mar 2011, 9:02 am
Investors suffering losses in Inverse and Leveraged Exchange Traded Funds may have claims against their stockbrokers or financial advisors for failure to disclose risk or perform due diligence. [read post]
11 May 2016, 2:58 am
The House Financial Services Committee is expected to hold a hearing on the bill next week, a sign the legislation could advance quickly through the chamber. [read post]
2 Jan 2019, 10:57 am
— [1] See Financial Industry Regulatory Authority (FINRA) Report on Digital Investment Advice https://www.finra.org/sites/default/files/digital-investment-advice-report.pdf (2016). [read post]
10 Nov 2023, 8:25 am
Just like Fernando Silva, FINRA investigates thousands of irregularities and wrongdoing by brokers and financial advisors when a firm terminates them for cause. [read post]
29 Oct 2010, 6:25 pm
A number of financial firms, with official sounding names and holding themselves as a veterans service organization but do little more than sell annuities. [read post]
1 Aug 2009, 3:13 pm
Michelle works closely with management, corporate communications and media groups, lawyers, and financial advisors to develop and launch tailored public relations and communications programs for employees, customers, suppliers, shareholders and the media. [read post]
19 Sep 2007, 9:07 am
Regulators conducted 110 examinations of broker-dealers, investment advisors and other financial services firms hosting "free lunch" seminarsâ€â [read post]
