Search for: "Fidelity Investments"
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6 Jun 2013, 12:45 pm
Fidelity Spartan Long-Term Treasury Bond index fund is a bond fund that invests primarily in long duration bonds. [read post]
24 Jun 2011, 7:16 am
At the same time, she told Fidelity to liquidate the entire investment account and to issue her a check for $1 million. [read post]
12 Sep 2008, 8:34 pm
Both The Wall Street Journal and The New York Times have reported that New York Attorney General Andrew Cuomo's office has reached an agreement with Fidelity Investments to resolve problems over Fidelity's marketing of auction-rate securities. [read post]
20 Mar 2019, 7:15 am
If bonds are released as a means to raise money – for example, for investment purposes – then the buyers of bonds can essentially be seen as lenders. [read post]
29 Jun 2015, 4:29 pm
If you have suffered investment losses in the mutual fund, Fidelity Advisor Gold Fund, The White Law Group may be able to help. [read post]
26 Feb 2017, 5:45 am
A Case Study of Fidelity Magellan Fund’s Investments in Unicorns (and other Startups) and the Regulatory Implications, I analyze whether the securities laws adequately protect mutual-fund investors from the risks that arise when their funds add this unique asset class to fund holdings. [read post]
22 Apr 2008, 5:15 am
"The Fidelity Funds Board of Trustees recognizes and respects that investors, including those investing in this Fund, have other investment opportunities open to them should they wish to avoid investments in certain companies or countries. [read post]
25 Jul 2005, 5:13 pm
[JURIST] Leading Monday's corporations and securities law news, Fidelity Investments [corporate website] has announced that it may face civil charges from the SEC. [read post]
7 Nov 2008, 5:02 pm
Lazard Capital Markets, LLC and a number of associated individuals have agreed to pay fines to settle Securities and Exchange Commission charges that over $600,000 was allegedly spent on entertaining Fidelity Investment traders to garner their business. [read post]
6 Mar 2008, 1:38 pm
Related Web Resources: Fidelity Fined in SEC Probe of Private Jets, Escorts, Ecstasy, Bloomberg, March 6, 2008 Fidelity fined $8M in gifts investigation, USA Today/AP, March 6, 2008 Fidelity Investments [read post]
7 Feb 2015, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices:Fidelity Investments Group, the third-largest custodian as ranked by the number of registered investment adviser clients, recently has been fined $350,000 by FINRA for overcharging more than 20,000 clients a total of $2.4 million.Between January 2006 and September 2013, Fidelity inappropriately charged for certain transactions in fee-based accounts in its Institutional Wealth Services group, which provides trading and… [read post]
13 Oct 2020, 3:41 pm
The popularity of robo-advising – online investment advice generally through data algorithms and with limited human intervention – has attracted even big traditional firms like Charles Schwab and Fidelity into the game. [read post]
10 May 2007, 6:27 pm
The NASD announced this week that it fined two Fidelity brokerage firms $400,000 for preparing and distributing misleading sales literature promoting Systematic Investment Plans, which were sold primarily to U.S. military personnel. [read post]
1 Mar 2011, 1:31 pm
Fidell criticizes the Hawaii Supreme Court's decisions in the Ala Loop and Kuilima cases, concluding that "Hawaii has no shortage of bureaucratic barriers, and our courts seem bent on imposing more of them, extending the reach of environmental laws to the point where activism rules and 'development' and 'return on investment' are taboo. [read post]
19 Nov 2015, 6:35 am
From the Desk of Jim Eccleston at Eccleston Law LLC:Massachusetts securities division has charged Fidelity Brokerage Services LLC with knowingly allowing unregistered individuals to act as investment advisors for Fidelity customers.Fidelity allowed more than a dozen unregistered individuals to use trading authorizations for more than 300 accounts, despite internal concerns that the individuals should be registered as investment advisors.However,… [read post]
27 Oct 2022, 8:28 pm
The article addressees a 2021 study by Fidelity Charitable that revealed millennials are much more... [read post]
26 Sep 2008, 5:51 pm
 SNSFE continues to investigate mutual funds as well as other investment vehicles that invested in these financial stocks that have taken a beating. [read post]
28 Mar 2007, 6:38 am
Rising health care costs are eating up more of retirees' savings, with a 65-year-old couple retiring this year needing about $215,000 to cover medical costs over the rest of their lives, Fidelity Investments said Tuesday. [read post]
26 Jun 2017, 3:34 am
We shouldn’t overlook that Fidelity’s also joined the party. [read post]
6 Aug 2012, 1:10 am
These client accounts were accessible only by First Defiance’s investment advisors, which acted as the “exclusive agent” on the clients’ behalf. [read post]
