Mark E. Czuchry, Esq., (zook ree) is a former stockbroker with an NYSE firm, former financial services sales manager and recruiter with a Fortune 150 company, and a former Vice President, Chief Compliance Officer and corporate counsel for a Bloomington, MN boutique broker-dealer & registered investment adviser.
Mark formerly served as CCO of several Minnesota State Investment Advisers as well as CCO of an SEC Registered Investment Adviser; Mark has presided over on-site regulatory examinations, performed heightened supervision with monthly reports to the regulator, and consulted RIAs on all legal and regulatory matters.Mark represents insurance agents, financial advisers and brokers in all matters.
Firm matters: drafting rep's response to broker dealer concerning customer complaints-often resulting in BD denying claims and in some cases, not reporting the complaint on the firm's 3070 report or RR's Form U-4-drafting of outside business activities, and responding to firm discipline including internal investigations and heightened supervision.
Mark formerly served as CCO of several Minnesota State Investment Advisers as well as CCO of an SEC Registered Investment Adviser; Mark has presided over on-site regulatory examinations, performed heightened supervision with monthly reports to the regulator, and consulted RIAs on all legal and regulatory matters.Mark represents insurance agents, financial advisers and brokers in all matters.
Firm matters: drafting rep's response to broker dealer concerning customer complaints-often resulting in BD denying claims and in some cases, not reporting the complaint on the firm's 3070 report or RR's Form U-4-drafting of outside business activities, and responding to firm discipline including internal investigations and heightened supervision.
Services
Ok, this is not an article authorizing you to be angry with your broker for the drop in your account value over the past year.
Truth be told, your losses probably keep your broker up at night more than you.
According to NASD's 2002-03 industry-wide probe, at least one in five of all "A Share" transactions eligible for a discount did not receive it.
In response, NASD required BDs to refund to each affected investor his or her actual amount of overcharge, ranging from $243 to $10,000, plus 3% interest.
Truth be told, your losses probably keep your broker up at night more than you.
According to NASD's 2002-03 industry-wide probe, at least one in five of all "A Share" transactions eligible for a discount did not receive it.
In response, NASD required BDs to refund to each affected investor his or her actual amount of overcharge, ranging from $243 to $10,000, plus 3% interest.
Review each statement immediately, brokerage and banking (ID theft is rampant and you could get stuck with the bill if over 30 days);.
Test the waters: do something in your account like a small trade, exchange, withdrawal, etc. (consider tax ramifications first) and watch the mail for a confirmation in 3 to 4 days;.
Call a "third-party" such as the broker-dealer back office or mutual fund or annuity custodian (someone other than your personal advisor) to verify your account info and positions.
Bernie Made-Off with investor's savings because he controlled everything, from trades to statements to communications, so don't be afraid to find out who else is watching the store.
Test the waters: do something in your account like a small trade, exchange, withdrawal, etc. (consider tax ramifications first) and watch the mail for a confirmation in 3 to 4 days;.
Call a "third-party" such as the broker-dealer back office or mutual fund or annuity custodian (someone other than your personal advisor) to verify your account info and positions.
Bernie Made-Off with investor's savings because he controlled everything, from trades to statements to communications, so don't be afraid to find out who else is watching the store.
We assist Personal Representatives and Trustees with all aspects of settling the deceased's estate.
In Minnesota, if one's estate assets exceed $75,000, and one either dies "intestate, " i.e., without a valid will in place or dies with a valid will through which assets transfer to others, state law requires a probate proceeding.
The probate process is very document and systems driven.
It causes time delays, extra costs, and information the court requires to process and settle the estate is available on the public record.
In Minnesota, if one's estate assets exceed $75,000, and one either dies "intestate, " i.e., without a valid will in place or dies with a valid will through which assets transfer to others, state law requires a probate proceeding.
The probate process is very document and systems driven.
It causes time delays, extra costs, and information the court requires to process and settle the estate is available on the public record.
We work with all parties involved to ensure your goals are met relative to all aspects of administering your trust(s).
This often includes working with Personal Representatives, Trustees, Beneficiaries, Financial Advisers and custodians to perform transactions, make distributions, establish sub-trusts, apply for EIN numbers, assist with tax return preparation, etc.
This often includes working with Personal Representatives, Trustees, Beneficiaries, Financial Advisers and custodians to perform transactions, make distributions, establish sub-trusts, apply for EIN numbers, assist with tax return preparation, etc.
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