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13 Feb 2017, 10:00 am
Countless individuals have cost their loved ones emotionally and financially. [read post]
1 May 2012, 7:14 am
Many consumer contracts do not involve consumer financial products or services (e.g., mobile phone contracts and retail sales). [read post]
22 Aug 2018, 6:28 am
First, an advisor must have a reasonable basis for the recommendation of the product or service based upon the broker’s research and due diligence into the investment’s properties including its benefits, risks, tax consequences, and other relevant factors. [read post]
9 Dec 2013, 8:29 am
We represent investors, financial professionals and investment firms, nationwide. [read post]
12 Apr 2010, 6:29 am
Last week, there was a new ruling affecting the financial services industry with respect to claims of compensation discrimination. [read post]
4 Apr 2019, 2:00 am
The post GAO Seeks More Guidance On Retirement Benefits That Become Unclaimed Property appeared first on HR Daily Advisor. [read post]
5 May 2020, 8:00 am
Financial advisors do not recommend taking loans out against 401(k) balances, but these are starting to happen. [read post]
28 May 2021, 6:00 am
Robo-advisors are automated, digital platforms that provide financial-planning services based on market algorithms and trends – a stark contrast from traditional avenues such as investment advisors. [read post]
21 Feb 2014, 5:42 pm
Right in that same vein, we have the first of two Norton Rose Fulbright launches in the form of Financial services: Regulation tomorrow. [read post]
14 Mar 2014, 8:28 am
A Chase financial advisor sued the employer under the PAGA alleging that the financial services company failed to pay him (and other “aggrieved parties”) overtime, provide meal breaks, allow rest periods, or timely reimburse their expenses. [read post]
31 Aug 2023, 4:51 am
Advisors for the deal included Kenyon Group as the exclusive financial advisor to Tower, BakerHostetler as lead counsel, and Moss Adams as the diligence provider. [read post]
26 Jul 2019, 1:24 pm
Five of the firms that self-reported collectively paid over $30M in restitution: Raymond James Financial Services (RJF) Wells Fargo Advisors (WFC) Raymond James & Associates Wells Fargo Advisors Financial Network LPL Financial (LPLA) Several months later, Edward Jones, AXA Advisors, Janney Montgomery Scott, Stifel Nicolaus & Company (SF), and Stephens Inc. collectively agreed to pay $18M in restitution to charitable and… [read post]
28 Nov 2016, 8:10 am
In UBS Financial Services Inc. v. [read post]
13 Sep 2023, 2:06 pm
While the US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the California Department of Corporations (DOC), and even prosecutors can investigate your allegations against a brokerage firm or investment adviser, if you want to maximize your chances for a full financial recovery, your best bet is to retain the services of a respected San Francisco securities law firm that knows how to fight for you. [read post]
9 Jun 2017, 6:06 am
Decreasing Patience for IPOs with Poor Shareholder Rights Posted by Robert Kalb, Institutional Shareholder Services, Inc., on Friday, June 2, 2017 Tags: Boards of Directors, Dual-class stock, Institutional Investors, IPOs, ISS, Proxy advisors, Public firms, Shareholder proposals, Shareholder rights, Shareholder voting Appraisal Decision Sole Reliance on Merger Price: PetSmart Posted by Gail Weinstein and Brian T. [read post]
29 Sep 2021, 10:40 am
Too often the financial advisor or broker ignores and/or fails to disclose the risks involved in these investments. [read post]
26 Oct 2012, 11:28 am
" The gist of his column is that financial advisors need to be ready to shift gears and go to a new firm in case something happens at their present firm. [read post]
1 Feb 2018, 8:30 am
Did your financial advisor recommend investing in Sierra Income Corporation? [read post]
21 Jan 2009, 1:06 pm
Madoff scandal, allegedly the longest, most widespread and financially devastating Ponzi scheme on record. [read post]
10 Jul 2024, 7:26 am
However, a financial advisor or brokerage firm cannot argue that they currently lack the “bona fide ability to pay”. [read post]
