The patent badge is an abbreviated version of the USPTO patent document. The patent badge does contain a link to the full patent document.
The patent badge is an abbreviated version of the USPTO patent document. The patent badge covers the following: Patent number, Date patent was issued, Date patent was filed, Title of the patent, Applicant, Inventor, Assignee, Attorney firm, Primary examiner, Assistant examiner, CPCs, and Abstract. The patent badge does contain a link to the full patent document (in Adobe Acrobat format, aka pdf). To download or print any patent click here.
Patent No.:
Date of Patent:
Sep. 15, 2009
Filed:
Feb. 11, 2003
Justin Data, Ossining, NY (US);
Michael Rizzo, Monroe Township, NJ (US);
Rohit Kataria, Union City, NJ (US);
Phil Hsu, Ho Ho Kus, NJ (US);
J. Chris Marsh, Zürich, CH;
Grace Davitt, Basking Ridge, NJ (US);
Syed Wajahat Ali, Linden, NJ (US);
Mark Distaulo, Hoboken, NJ (US);
Jangliw Passavant, West Orange, NJ (US);
Justin Data, Ossining, NY (US);
Michael Rizzo, Monroe Township, NJ (US);
Rohit Kataria, Union City, NJ (US);
Phil Hsu, Ho Ho Kus, NJ (US);
J. Chris Marsh, Zürich, CH;
Grace Davitt, Basking Ridge, NJ (US);
Syed Wajahat Ali, Linden, NJ (US);
Mark Distaulo, Hoboken, NJ (US);
Jangliw Passavant, West Orange, NJ (US);
UBS Financial Services, Inc., Weehawken, NJ (US);
Abstract
The present invention provides systems and methods for financial advisor messages in a networked computer system. A financial advisor associated with a financial services organization determines clients to receive a message, the financial advisor determines the message, and the message is transmitted over the network to be accessible by the clients. Methods are provided in which the message is required to be determined to be compliant prior to transmission to the clients. Methods are also provided in which individuals associated with the financial services organization, such as the financial advisor, are notified of a non-compliant message.