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18 Apr 2014, 5:43 am
Couyoumjian has been the subject to disciplinary action by several states, FINRA, the Certified Financial Planner’s Board (“CFP”), and has had at least eight customer complaints filed against her all associated with allegations concerning high commission based investment products. [read post]
17 Apr 2014, 4:00 am
Attorney-Client Privilege and Work Product; Limitations on WaiverThe following provisions apply, in the circumstances set out, to disclosure of a communication or information covered by the attorney-client privilege or work-product protection. [read post]
7 Apr 2014, 7:01 am
Non-Traditional ETFs contain significant risks that make the products inappropriate for nearly all investors. [read post]
4 Apr 2014, 10:20 am
Productive and beneficial uses forestalled, to no benefit of any author or rightsholder. [read post]
3 Apr 2014, 12:06 pm
., LLP (Fed. [read post]
3 Apr 2014, 6:07 am
All three brokers have been accused by clients of churning their accounts and making unsuitable investment recommendations. [read post]
2 Apr 2014, 7:44 pm
., LLP, No. 2013-1433 (Fed. [read post]
2 Apr 2014, 5:39 am
The attorneys at Gana LLP are experienced in investigating claims of financial fraud. [read post]
1 Apr 2014, 7:43 am
Ingerman Smith LLP (E.D. [read post]
31 Mar 2014, 7:25 am
Others won't miss out on all the excitement, though, since Bristows LLP has kindly agreed to arrange for live streaming. [read post]
31 Mar 2014, 1:43 am
Clyde & Co LLP & Anor v Winklehof, heard 24 – 25 March 2014. [read post]
26 Mar 2014, 9:38 am
The law also mandates that all broadcasters, cable companies, and satellite program providers adhere to the same requirements asthose companies that deliver the audiovisual products. [read post]
26 Mar 2014, 6:19 am
In 1979 all royalties were calculated “at the well head” without reduction for “post production costs”. [read post]
25 Mar 2014, 5:40 am
According to the complaints, Tatro exclusively sold high risk, illiquid, high commission generating products in a “one size fits all” model to clients. [read post]
21 Mar 2014, 8:52 pm
Clio allows you to manage your matters, clients, time, bills, trust accounts and more all through a a secure, easy-to-use, web-based interface. [read post]
20 Mar 2014, 12:00 pm
Not all of these models were available through all of those model years. [read post]
20 Mar 2014, 11:17 am
The news for suppliers is not all bad. [read post]
20 Mar 2014, 5:35 am
We welcome all inquiries concerning our services. [read post]
17 Mar 2014, 6:06 am
Thus, FINRA recognizes that there are some investment products and strategies that are so risky and likely to fail that they would be inappropriate for all investors. [read post]
17 Mar 2014, 5:24 am
appeared first on Dougherty, Leventhal & Price, LLP. [read post]
