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5 Nov 2019, 8:03 am
Financial Advisors play an essential role. [read post]
5 Nov 2019, 5:57 am
His practice focuses broadly on SEC regulated financial service clients, including broker-dealers, securities exchanges, municipal advisors and investment advisers. [read post]
1 Nov 2019, 6:00 am
Stein, Latham & Watkins LLP, on Thursday, October 31, 2019 Tags: Boards of Directors, Capital structure, Disclosure, IPO Spinning, IPOs, Management, Mergers & acquisitions, Registration statements, Securities Act, Spinoffs, Taxation Mechanisms of Market Efficiency Posted by Kathryn Judge (Columbia Law School), on Thursday, October 31, 2019 Tags: Banks, CDOs, Financial… [read post]
30 Oct 2019, 2:39 am
District Court for the Western District of Virginia dismissed a counterclaim under Section 18 of the Lanham Act for "Cancellation by Restriction" of a registration for the mark CFA for financial advisor certification services. [read post]
29 Oct 2019, 1:27 pm
As detailed in the complaint, Lagan and Sherwood have provided estate planning and related legal and financial services to Capital Region philanthropists Warren and Pauline Bruggeman and Pauline Bruggeman’s sister, Anne Urban, since at least 2006. [read post]
29 Oct 2019, 7:37 am
For example, a financial advisor at a Wall Street firm has a regulatory record under the CRD system. [read post]
29 Oct 2019, 3:05 am
To try to price risk, the world’s biggest financial service providers are investing in companies which provide ESG-related data. [read post]
28 Oct 2019, 1:07 pm
The task force will hear testimony from Michele Flournoy, the co-founder and managing partner of WestExec Advisors, and Jim Talent, the co-chair of the Reagan Institute Task Force. [read post]
28 Oct 2019, 7:41 am
Financial Advisor Ramon A. [read post]
25 Oct 2019, 6:56 am
According to the finding of fact in the order, the same location housed four businesses: American Dream U, Nevada Benefits (Surevest Capital and Financial Services and Investment corporation. [read post]
25 Oct 2019, 6:31 am
Collard, Sullivan & Cromwell LLP, on Wednesday, October 23, 2019 Tags: CFIUS, FIRRMA, International governance, Securities regulation, Treasury Department A Review of ISS Proposed 2020 Policy Changes Posted by Lisa Stimmell and Courtney Mathes, Wilson Sonsini Goodrich & Rosati, on Wednesday, October 23, 2019 Tags: Board independence, Boards of Directors, Charter & bylaws, Dual-class stock, Institutional… [read post]
25 Oct 2019, 2:00 am
Employees in financial services may require a credit check as part of a comprehensive background screening. [read post]
24 Oct 2019, 9:05 pm
Consumer Financial Protection Bureau (CFPB) violates the U.S. [read post]
24 Oct 2019, 12:14 pm
If your financial advisor over-concentrated your portfolio in MLPs, you may have a viable claim to recover your losses. [read post]
24 Oct 2019, 9:55 am
In respect of the Regulation on the cross-border distribution of collective investment undertakings (CBDF Regulation), the Regulations also: amends the Gibraltar (Miscellaneous Amendments) (EU Exit) Regulations 2019 to ensure that the CBDF Regulation remains in force for Gibraltarian-based financial services firms and funds; and revokes the CBDF Regulation as the UK will fall outside the EU’s single market for financial services upon exiting the European… [read post]
22 Oct 2019, 12:22 pm
According to FINRA Disciplinary actions for August 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Sandra Acree Fidelity Brokerage Services Andrew Baker Suntrust Investment Services Wells Fargo Advisors William Cannon … [read post]
22 Oct 2019, 11:44 am
According to FINRA Disciplinary actions for August 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Patrick Auckland TIAA-VREF Individual & Institutional Services Morgan Stanley Matthew DiNinno Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Nicholas Diesso Ameriprise Financial… [read post]
22 Oct 2019, 10:26 am
According to FINRA Disciplinary actions for August 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Carolyn Andrews UBS Financial Services Morgan Keegan & Company Meiewyn Avent Alliance-One Investments Metlife Investors… [read post]
18 Oct 2019, 7:16 am
From September 2016 until July 2019 Byrd was associated with Capital Financial Services, Inc. [read post]
17 Oct 2019, 11:32 am
Our Investment Adviser Group assists financial service providers with complex issues that arise in the course of their business, including complying with federal and state laws and rules. [read post]
