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A video from a fund that protects MAAM clients during sharp market downturns. The MAAM investment team calls it portfolio insurance; watch the video below to learn more. Universa COO Brandon Yarckin tells @KellyCNBC on @CNBCTheExchange the firm has been bullish for the past 18 months and expects the S&P 500 to hit 6,000 by the end of the year. https://t.co/KWVKT5Iz8o

A video from a fund that protects MAAM clients during sharp market downturns. The MAAM investment team calls it portfolio insurance; watch the video below to learn more. Universa COO Brandon Yarckin tells @KellyCNBC on @CNBCTheExchange the firm has been bullish for the past 18 months and expects the S&P 500 to hit 6,000 by the end of the year. https://t.co/KWVKT5Iz8o

😎 Son:Hey, I just found out that we have some unclaimed dividends from Grandpa’s shares. I’m not sure how to proceed without getting scammed. Any ideas?. . . . Yes Absolutely, Compliance Calendar ® :there are common reasons why dividends go unclaimed: 1. Change in address 2. Lost or misplaced physical share certificates 3. Non-updation of bank details 4. Death of the original shareholder 5. Non-completion of KYC requirements We at Compliance Calendar LLP can guide you retrieve your #unclaimedshares #unclaimeddividends. We provide the right information and easy guidelines to walk you through the entire process for recovery of shares from IEPF 😎Son:That sounds perfect. How can I get started for recovery of my shares? Compliance Calendar ®: Learn more about the IEPF share recovery process here: https://lnkd.in/ggZcQMqN

Struggling to manage your CITs, CTFs, and A2 Fund disclosures & regulatory documents? Let #ArcPro and #ArcReporting streamline your process. Learn more: dfinsolutions.co/3pnuy3X #cit #ctfs #funds

Jeremy Lindquist’s Regulatory History Raises Significant Investor Concerns : FINRA BrokerCheck records expose a concerning history of customer disputes surrounding Jeremy Lindquist, a broker operating in Melbourne, Florida through MML Investors Services, LLC. His record shows a troubling pattern – four separate customer complaints focused on complex insurance and annuity products that have cost his firm hundreds of thousands in settlements. Recent Developments The […] https://lnkd.in/eXEhsunW

LPL Fined $6 Million For Multiple Supervisory Lapses, Reg BI Violation LPL Financial was fined $5.5 million by FINRA and ordered to pay over $650,000 in restitution to customers for several supervisory failures and sales violations. These issues included LPL allowing unsuitable trades and charging excessive fees without proper oversight. https://lnkd.in/gGntWGyV #investorprotection #finra #finraarbitration #bhseclaw

Below is the latest #Regulatory update affecting securities registration: • FINRA implemented Form BR enhancements for initial submissions. Join SILA and get immediate access to useful regulatory updates and compliance resources focused on insurance licensing and securities registrations. https://bit.ly/4eRa1dD #update #insurance #licensing #financial

Below are the latest #Regulatory updates affecting securities registration: FINRA releases information regarding its 2025 renewal process. Information regarding the IARD 2025 renewal process has been released. Join SILA and get immediate access to useful regulatory updates and compliance resources focused on insurance licensing and securities registrations. https://bit.ly/4eRa1dD #update #insurance #licensing #financial

FINRA #Regulatory update. Please read. #FINRA #Regulatory #insurance

Exciting update 🌟 #Demotech, Inc. has upgraded the Financial Stability Rating® (FSR) assigned to Lighthouse Title Insurance Company to #A, #Exceptional. This level of FSR is assigned to insurers who possess exceptional financial stability related to maintaining positive surplus as regards policyholders, liquidity of invested assets, an acceptable level of financial leverage, reasonable loss and loss adjustment expense reserves (L&LAE) and realistic pricing. #titleinsurance #screalestate #realestatelaw