Search for: "Fidelity Funding "
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11 Feb 2014, 3:41 pm
” General Fidelity argued that this clause gave them priority to recover from the indemnification funds. [read post]
30 Mar 2018, 3:22 am
The Eighth Circuit reasoned that title insurance is not intended to bear the risk of insufficient construction funding. [read post]
28 Sep 2013, 11:55 am
The plaintiff, Precision Funding Group, sued its competitor, National Fidelity Mortgage, for alleged interference with contracts and business opportunities (among other business torts). [read post]
8 May 2007, 2:55 pm
Failure to inform participants of a "long-standing agreement" with Fidelity to only choose Fidelity funds. [read post]
6 Apr 2012, 12:05 pm
(May 16, 2005)).Following publication of the proposing release in 2010, the SEC staff asked Fidelity Aberdeen Street Trust to include in the “Principal Investment Strategies” section of its “Fund Summary” a glide path for all funds that had not yet reached their target date. [read post]
8 Jun 2015, 5:12 am
Last September, the SEC charged Houston-based investment advisory firm Robare Group Ltd. and its co-owners with fraud for failing to disclose to clients a servicing fee agreement with Fidelity under which Robare Group received a percentage of investments in certain mutual funds. [read post]
6 Mar 2014, 8:22 am
The mutual funds were not parties to the action because, as is common in the mutual fund industry, the Fidelity funds had no employees. [read post]
10 Apr 2008, 9:32 am
Other bond funds in trouble include Morgan Stanley Inst Limited Duration (down 8% year to date), Fidelity Ultra-Short Bond (down 7.12% year to date) and Van Kampen Limited Duration (down 6.8% year to date). [read post]
8 May 2020, 4:10 am
It noted that Fidelity did not submit a survey or evidence from consumers, and found that Fidelity had used the proposed mark since 2013. [read post]
9 Aug 2008, 6:00 pm
Fidelity Ultra-Short Bond Fund: Investors claim that they were told the fund's goal was to seek a high level of current income that was in line with preserving capital. [read post]
21 Jan 2019, 4:12 pm
To ensure that community associations are better protected, the California legislature passed AB 2912, acknowledging that associations are susceptible to fraud and embezzlement, and that more is needed to completely achieve the goal of protecting community association funds. [read post]
21 Jan 2011, 9:46 am
Fidelity is one of the largest mutual fund complexes in the United States. [read post]
1 Jun 2020, 2:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5252/securities-industry-commentator/FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In the Matter of Robert Silverman,… [read post]
7 May 2021, 4:10 am
Federal Court Says Second Amended Complaint Looks Too Much Like First Amended Complaint (BrokeAndBroker.com Blog)Fidelity and Schwab oddly take opposite sides on issue critical to money market funds as an SEC, alarmed by systemic risks, puts NAVs under spotlight (RIABiz by Oisin Breen)FINRA Censures and Fines SpeedRoute for SupervisionIn the Matter of SpeedRoute LLC, Respondent (FINRA AWC)Federal Court Rejects TRO Against Brokerage Firm and RIA (BrokeAndBroker.com… [read post]
1 Jun 2020, 2:04 am
FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In the Matter of Robert Silverman, Respondent (FINRA AWC)SEC Awards Record Payout of Nearly $50 Million to Whistleblower / Whistleblower Program Reaches $500 Million in Total Awards (SEC Release)Investment Advisor Sues… [read post]
9 Aug 2008, 6:00 pm
Fidelity Ultra-Short Bond Fund: Investors claim that they were told the fund's goal was to seek a high level of current income that was in line with preserving capital. [read post]
1 Jun 2018, 6:00 am
by Julie DiMauro Boston-based mutual fund company Fidelity fired or let resign about 200 people during the past year after discovering that some employees misused the firm’s partial-reimbursement program, the Wall Street Journal reported, citing a source familiar with the matter. [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)… [read post]
19 Mar 2009, 10:11 pm
The Deere plan featured a number of Fidelity plans with higher-than-average fees plus a portal through which employees could access 2,500 publicly available funds. [read post]
11 Oct 2021, 12:11 pm
AB 2912’s protections included: 1) requiring Associations to secure fidelity bond insurance in an amount equal to or exceeding current reserves, plus three months of assessments; 2) requiring a monthly review of financial statements rather than quarterly; and 3) prohibiting electronic transfers of funds without board approval. [read post]
