Tag Archives: advisors

On Proxy Advisors and Important Issues for Investors in 2019

Posted by Rick A. Fleming, U.S. Securities and Exchange Commission, on Sunday, April 21, 2019 Editor's Note: Rick A. Fleming is an Investor Advocate with the U.S. Securities and Exchange Commission. This post is based on Mr. Fleming’s recent remarks at SEC … Continue reading

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SEC Takes Aim at Unregistered Advisors in New Alert

Hoping to clean up the reputation of a profession that suffers from what seems like an unusual number of imposters and scam artists, the SEC has announced that it will be enlisting the help of investors to identify phony stock … Continue reading

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State Street Advisors Announces it is Laying off 1,500 Employees

On January 17, 2018 State Street Advisors announced the intention to reduce its work force by 1,500 employees, including 15% of senior management positions. This layoff may affect many veteran employees, impacting complicated compensation packages involving deferred compensation, equity awards, … Continue reading

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Canadian Association of Farm Advisors (CAFA) – 2019 Cultivating Business guide released

The Canadian Association of Farm Advisors (CAFA) has released its 2018-2019 Cultivating Business guide.  In addition to articles on topics of interest to farmers and farm advisors, the guide contains listings of CAFA-certified farm advisors from across Canada. Read more … Continue reading

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Former Cetera Advisors Broker Scott Kozak Accused of Selling Unapproved Securities

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Scott Kozak (Kozak), formerly associated with Cetera Advisors LLC (Cetera) in Highlands Ranch, Colorado has been accused by his former firm and barred by FINRA over … Continue reading

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