Search for: "Fidelity Employer Services Company"
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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… [read post]
18 May 2015, 5:18 am
Here are two practical suggestions The service agreement with the TPA or claims administrator should indemnify the employer for any mistakes of the service provider. [read post]
1 Jul 2019, 12:46 pm
Morgan Keegan & Company, Inc Avent, Meiewyn Alliance-One Investments, LLC Metlife Investors Distribution Company Bougopoulkos, Nicholas Wells Fargo Securities, LLC Stifel Financial Corp Cook, Marian Farmers Financial Solutions, LLC Corley, Robert Fidelity Brokerage Services LLC Redstone Securities, Inc Detamore, Craig Allstate Financial Services, LLC… [read post]
10 Feb 2018, 12:00 am
When we come back we will talk a little bit about 401(k)s ‑‑ why people have them, what you should do if you are leaving your employment, and why you should or shouldn’t have your company stock in your 401 and keep it. [read post]
16 Feb 2012, 1:03 pm
In Lawson, Fidelity Investments, a public company covered by Section 806 of SOX, contracted with a private investment advisory firm to provide investment advisory services. [read post]
25 Oct 2013, 3:43 pm
Before opening The Kielich Law Firm, I worked for Fidelity Investments in a service group that dealt with their 401k plans, defined benefit pensions and executive compensation plans. [read post]
16 Feb 2009, 6:21 am
They further alleged that both Fidelity companies were “functional fiduciaries” of the plan. [read post]
17 Sep 2008, 10:42 am
The second tier covers confidential information which the employee cannot use or disclose during the period of employment without breaching his duty of fidelity to his employer, but which, in the absence of an express non-disclosure term, could be used post-service. [read post]
6 Apr 2010, 5:00 am
In the first case, plaintiff, Jackie Hosang Lawson sued FMR LLC, FMR Corp. and Fidelity Brokerage Services. [read post]
11 Apr 2010, 7:21 am
Fidelity & Guarantee Insurance Underwriters, a 1996 case. [read post]
2 Jul 2015, 12:30 am
There was a good arguable case against all the defendants that their implied duties of good faith and fidelity as employees included a duty not to make preparations during their employment to compete with Allfiled after their employment ended, and not to solicit other employees to leave.* Factors against granting an injunction were that Allfiled might not even benefit from it, since it had lost its entire workforce and was in a perilous financial position, while the new… [read post]
13 Oct 2011, 7:19 am
Harris was President of the Financial Services Technology division at LPS’s former parent, Fidelity National Financial (FNF), until he retired in 2007. [read post]
12 Apr 2019, 8:25 am
According to FINRA Disciplinary actions for February 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 Arizmendi, Jose Silber Bennett Financial, Inc TCFG Wealth Management, LLC Barrick, Tabor FBL Marketing Services, LLC Allstate… [read post]
18 Jun 2020, 2:01 am
We know that employees with differences are critical in helping companies understand their diverse customers and providing solutions and services that resonate. [read post]
18 Jun 2020, 2:01 am
We know that employees with differences are critical in helping companies understand their diverse customers and providing solutions and services that resonate. [read post]
28 Aug 2018, 11:12 am
According to FINRA Disciplinary actions for August 2018, 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 Gregory Connell Ashley Evans Valbona Keja-Dasilva Suntrust Investment Services, Inc CCO Investment Services Corp Keesang… [read post]
9 Jul 2018, 12:46 pm
Morgan Stanley DW Inc Cynthia Mae Moore The Huntington Investment Company Felipe De Jesus U Munive Allstate Financial Services, LLC Gordon Beecher Nitka MML Investors Services, LLC MassMutual Life Insurance Company Daniel Ochoa Farmers Financial Solutions, LLC Joshua Alexander Stephens-Anselm JP Morgan Securities LLC Capital One Bank NA John Bradford Stoddard … [read post]
30 Mar 2012, 2:48 pm
The indictment alleges that Elia met with an investor at a hotel in Fort Lauderdale in 2010 and presented the investor with allegedly fraudulent Fidelity account statements, which the FBI later discovered to reflect different values from the actual Fidelity account statements. [read post]
2 Oct 2018, 5:48 am
Alan Garett Fidelity Brokerage Services LLC Ramon Herrera Wells Fargo Clearing Services, LLC Mandee Khu JP Morgan Securities LLC Chase Investment Services Corp John Maccoll UBS Financial Services Inc Morgan Stanley DW Inc. [read post]
3 Jan 2013, 1:29 pm
Fidelity National Information Services, Inc. [read post]
