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24 Jun 2019, 1:21 pm
In today’s episode, Victor tackles the question, “Are my financial advisors working in my best interest? [read post]
12 Jun 2016, 7:15 pm
While financial advisors often provide valuable services, it can be difficult for individual investors to evaluate the advice they receive and to identify when it has been influenced by a conflict of interest. [read post]
5 Mar 2007, 1:32 pm
BOSTON--(BUSINESS WIRE)--Mirus Capital Advisors, a middle-market investment bank, announced today that it has advised Lextranet ®, a leading provider of hosted litigation support software, on its sale to Merrill Corporation, a global provider of technology-enabled services for the legal, financial, real estate and other corporate markets.Boston-based Lextranet offers a suite of advanced Web-based tools that help corporate and law firm attorneys review documents, manage… [read post]
4 Nov 2014, 6:15 am
On October 10, 2014, the Delaware Court of Chancery issued a decision awarding nearly $76 million in damages against a seller’s financial advisor. [read post]
2 Sep 2021, 1:45 pm
New York Governor Kathy Hochul announced this week that she has nominated Adrienne Harris to serve as Superintendent of the state’s Department of Financial Services. [read post]
14 Aug 2018, 6:13 am
Stoltmann Law Offices continues to investigate Anthony Diaz, a broker with IBN Financial Services in Pennsylvania. [read post]
23 Feb 2023, 10:04 am
Case Summary: In October 2018, Kent Jackson Rhoades left his job at Wells Fargo Advisors, LLC in Mountain Home, Arkansas to start an independent financial consulting firm with Raymond James Financial Services, Inc. [read post]
14 Feb 2018, 3:00 am
If an advisor claims that her services are free or that you don’t pay her, ask how she’s able to run her business, if clients don’t pay and services are simply given away. [read post]
READ BELOW: Financial Advisor, Jesus Rodriguez, Faces SEC Charges for Stealing Millions from Clients
26 Jan 2024, 5:03 am
This case sheds light on the importance of maintaining transparency and trust in the financial services industry. [read post]
20 Mar 2020, 8:10 am
Financial Advisor James B. [read post]
6 Dec 2021, 9:48 am
It was the bank that introduced her to the Cetera financial advisor. [read post]
9 Dec 2016, 7:25 am
According to InvestmentNews, only about 12% of financial advisors have any type of disclosure event on their records. [read post]
9 Jul 2009, 3:05 am
Byrd and Harris were employed as financial advisors for Bank of America. [read post]
10 Feb 2021, 7:31 am
Prior to working for Woodbury Financial Services in 2016, where he is also a registered investment advisor, Ginsberg was a registered representative for Investors Capital Corp. and Investors Capital Advisory. [read post]
25 Mar 2014, 6:20 am
On March 7, the Delaware Court of Chancery published a post-trial opinion in In Re Rural Metro Corporation Stockholders Litigation (Rural Metro) finding Rural/Metro’s financial advisor RBC liable for aiding and abetting the Rural/Metro’s board of directors’ breach of its fiduciary duties in connection with the acquisition of Rural/Metro by Warburg Pincus. [read post]
2 Dec 2021, 6:59 am
The Broadview, Ohio financial advisor has worked in the industry for 25 years. [read post]
30 Jun 2022, 7:50 am
UBS Financial Services Inc has agreed to pay $25 million to settle SEC fraud charges relating to a particular investment strategy called Yield Enhancement Strategy. [read post]
7 Feb 2020, 8:08 pm
Gregory Derwart, chief operating officer for Maller Wealth Advisors, a full-service financial planning and investment management company, became a financial paraplanner qualified professional. [read post]
15 Dec 2021, 12:59 pm
They invested $200K in Northstar (Bermuda) at the recommendation of Bankoh Investment Services financial advisor Yoko Farias. [read post]
21 Sep 2018, 1:11 pm
Financial services veteran and industry leader Sam DiPaola will join Evergreen Advisors LLC as its new president, the investment banking and corporate advisory firm announced Friday. [read post]
