Search for: "American Accounts & Advisers Inc"
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29 Sep 2014, 6:33 am
An African-American sales rep who, after filing an EEOC charge, was deprived of four lucrative accounts, required to adhere to a disparately applied attendance policy, and denied a severance package, presented sufficient evidence to advance her pro se Title VII reprisal claim. [read post]
1 Oct 2014, 6:26 am
Under FINRA Rule 2110 and 2310, all financial advisers and brokerage firms have a responsibility to deal fairly with their customers. [read post]
13 Dec 2019, 6:00 am
Elections Posted by Michael Sozan, Center for American Progress, on Friday, December 6, 2019 Tags: Accountability, Citizens United v. [read post]
31 Jan 2015, 4:23 pm
This post examines an opinion the California Court of Appeals for the Second District recently issued in a civil case: American International Group, Inc. v. [read post]
7 Feb 2020, 6:00 am
Schonfeld, Tina Samanta, and Amy Mayer, Gibson, Dunn & Crutcher LLP, on Friday, January 31, 2020 Tags: Accounting, Cryptocurrency, Financial technology, Insider trading, Investment advisers, Regulation FD, SEC, Securities enforcement, Securities fraud, Securities litigation, Securities regulation, Whistleblowers IAC Recommendation Concerning SEC Guidance and Rule Proposals on Proxy Advisors and Shareholder… [read post]
15 Feb 2021, 3:58 pm
Sessions nor other nominees were held accountable for these misrepresentations. [read post]
2 Jun 2011, 2:14 pm
The secretary of stateand#39;s office, which regulates the securities industry in Illinois, In Illinois, as registered investment adviser reps and as investment advisers, the Coopers are held to a fiduciary standard. [read post]
15 Jan 2013, 7:07 am
BT Foods Inc., 948 So.2d 921, at 923-24 (Fla. 4th DCA 2007). [read post]
4 Apr 2014, 6:26 am
Beck, through one of its advisers, took nearly two-thirds of Claimant’s retirement savings and put them into the Inland American Real Estate Investment Trust (Inland) and the Lease Equipment Finance Fund 4 (LEAF). [read post]
23 Aug 2012, 8:33 pm
USI Advisors Inc. [read post]
26 Apr 2018, 3:59 am
It is aimed at establishing a standard of conduct for broker-dealers and people associated with them when making any securities transaction recommendation—including advice to roll over or transfer assets from one type of account to another, such as a recommendation to roll over or move assets in an Employee Retirement Income Security Act (ERISA) retirement account to an individual retirement account (IRA). [read post]
26 Apr 2018, 3:59 am
It is aimed at establishing a standard of conduct for broker-dealers and people associated with them when making any securities transaction recommendation—including advice to roll over or transfer assets from one type of account to another, such as a recommendation to roll over or move assets in an Employee Retirement Income Security Act (ERISA) retirement account to an individual retirement account (IRA). [read post]
22 Mar 2007, 5:34 am
Pennsylvania law first rejected cross-jurisdictional tolling in an accountant malpractice case, Ravitch v. [read post]
5 Jan 2012, 10:40 am
Jim Davis (D-Fla.), a partner at the firm, and Holland senior policy adviser Karl Koch handled the account. [read post]
17 Oct 2018, 4:19 pm
The experience of Anthem, Inc. illustrates this point. [read post]
1 Nov 2019, 6:00 am
Investment Management: Compliance Developments & Calendar for Private Fund Advisers Posted by Jason M. [read post]
19 Sep 2022, 1:44 pm
That you can hold a manufacturer accountable for a defective product is as obvious to anyone alive today as the fact that Americans elect their leaders. [read post]
14 Dec 2011, 6:34 pm
According to MetLife Inc. in June, older Americans are bilked of $2.9 billion annually by relatives, businesses, and strangers. [read post]
1 Aug 2017, 6:57 am
By contrast, Michael Rothman, president of the North American Securities Administrators Association, Inc., called Section 827 “baffling and misguided” in a statement to the House Financial Services Committee in advance of the House vote on the CHOICE Act. [read post]
3 Jul 2009, 3:08 am
Be advised... [read post]
