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14 Nov 2020, 6:23 am
However, a 2020, Beaumont Court of Appeals had this issue before them in a mandamus action styled, In Re Mountain Valley Indemnity Company, Shane Waddell, Lonnie Tidwell, National General Insurance Company, and Prostar Adjusting. [read post]
1 Jul 2014, 7:01 am
., with an increase of 25.1% in total account assets Waddell & Reed Financial Advisors, with an increase of 24.8% in total account assets Wells Fargo Advisors Financial Network, with an increase of 21.0% in total account assets Finally, the top five independent broker-dealer firms ranked by percentage change on fee-based assets from 2012 are: Waddell & Reed Financial Advisors, with an increase of 42.2% in fee-based assets Cetera Financial Institutions, with an increase of… [read post]
27 Feb 2014, 9:51 am
AWA Houston has announced the recipients of its Premier Women in Law Awards: Texas Supreme Court Justice Eva Guzman; 14th Court of Appeals Chief Justice Kem Frost; Harris County District Attorney Devon Anderson; Ruthie White, managing partner in Jackson Lewis; Lauren Waddell, founder of Waddell Law Firm; and Susan Sanchez, corporate counsel and pro bono coordinator to Exxon Mobil Corporation.At the luncheon, the AWA Houston Foundation also will give six scholarships to second- and… [read post]
17 Jun 2013, 10:41 am
In the Matter of Keith Dow Powell, Respondent (AWC 2011028200201, June 10, 2013).Powell entered the securities industry in 1991 and between February 2008 and December 3, 2012, he was registered at Waddell & Reed, Inc., from which he voluntarily resigned.Short SaleOn or about October 5, 2009, Powell entered into a compromise with a creditor in connection with the short sale of real estate he owned that was subject to a $400,000 mortgage. [read post]
26 Oct 2012, 5:14 am
Enforcement Actions Against Advisors Nearly Doubled: NASAA by Melanie Waddell in AdvisorOne Enforcement actions taken against investment advisory firms by state securities regulators nearly doubled to 399 in 2011—accounting for 15% of all enforcement actions handled by state securities regulators, according to the North American Securities Administrators Association’s (NASAA) annual enforcement report. [read post]
20 May 2019, 6:11 am
In 2014, Basile’s mother opened a brokerage account at Waddel & Reed shortly after he began employment there, with Basile serving as the broker. [read post]
17 Aug 2016, 2:42 pm
Bess was recently registered to sell securities with Waddell & Reed, in Edmond, Oklahoma, From April 2014 to July 2016, according to his publicly available BrokerCheck records maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
23 Feb 2017, 6:34 am
On Tuesday, I was privileged to be part of a panel discussing cyberinsurance for public pension funds at Kessler Topaz’s Evolving Fiduciary Obligations for Institutional Investors conference, joining Victoria Hale, General Counsel of the Denver Employees Retirement Plan, and pension attorney Chris Waddell. [read post]
23 Feb 2017, 6:34 am
On Tuesday, I was privileged to be part of a panel discussing cyberinsurance for public pension funds at Kessler Topaz’s Evolving Fiduciary Obligations for Institutional Investors conference, joining Victoria Hale, General Counsel of the Denver Employees Retirement Plan, and pension attorney Chris Waddell. [read post]
23 Feb 2017, 6:34 am
On Tuesday, I was privileged to be part of a panel discussing cyberinsurance for public pension funds at Kessler Topaz’s Evolving Fiduciary Obligations for Institutional Investors conference, joining Victoria Hale, General Counsel of the Denver Employees Retirement Plan, and pension attorney Chris Waddell. [read post]
2 Sep 2014, 12:32 pm
., Natalie Waddell and Mark C. [read post]
31 Jul 2013, 3:25 pm
"When hospitals unnecessarily admit Medicare patients for short inpatient stays when the appropriate treatment would be outpatient or observation care, they improperly boost hospital profits at significant expense to taxpayers and patients," said HHS-OIG's Waddel. [read post]
15 Feb 2016, 9:22 am
Bibliographic notes: BETTINGER, T., & WADDELL, A. (2015). [read post]
9 Nov 2021, 1:12 pm
His employment at Waddell & Reed ended on April 27, 2021. [read post]
18 Aug 2021, 6:43 am
His employment at Waddell & Reed ended on April 27, 2021. [read post]
3 Jan 2019, 5:48 am
According to FINRA Disciplinary actions for December 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Albin, William Waddell & Reed Metlife Securities Inc Allen, David Avenir Financial Group Gunnallen Financial, Inc Boupon, Kean Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith… [read post]
3 Feb 2016, 10:42 am
InvestmentNews recently published a list of 10 high yield funds that have a high level of exposure to distressed debt: Federated High Yield Service (FHYTX) Waddell & Reed High-Income A (UNHIX) Osterweis Strategic Income (OSTIX) Fidelity Advisor High Income Advantage A (FAHDX) Ivy High Income C (WRHIX) Third Avenue Focused Credit Instl (TFCIX) Artisan High Income Advisor (APDFX) American Funds American High-Inc A (AHITX) Western Asset Short Duration High Inc B (SHICX) Northern Multi… [read post]
26 Nov 2013, 10:04 pm
In a prior APHLTech blog post (NGS in Action: FDA’s Genome TRAKR Network), Victor Waddell of the Arizona State Public Health Laboratory described the newly formed network of laboratories formed by the U.S. [read post]
20 Jan 2009, 5:00 am
Automobile accidents in El Mirage and the surrounding communities may not be as frequent as automobile accidents and personal injuries in Mesa, Arizona, but the reduced frequency of serious injuries in Waddell and Youngtown do not decrease the terrible impact upon those who are injured. [read post]
1 Jul 2018, 9:30 pm
[Congratulations to Suffolk Law and Professor Braatz on the following hiring announcement.]Erin Braatz (Credit: Jennifer Waddell)Erin Braatz will be joining Suffolk University Law School as an Assistant Professor of Law this fall, where she will teach courses on criminal law, evidence, and legal history. [read post]
