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8 Aug 2018, 5:00 am
In particular, IAA recommends the position previously taken by the SEC that discretionary investment advice should not be deemed solely incidental to brokerage services. [read post]
7 Aug 2009, 11:18 am
The Compensation Committee will expressly have the authority to retain and direct the services of compensation consultants and/or other advisors including independent legal counsel. [read post]
23 Jul 2018, 11:09 am
Variable annuities are high sales commission products for financial advisors and sometimes advisors push these products on persons who do not need them or cannot benefit from them. [read post]
23 Jul 2018, 11:09 am
Variable annuities are high sales commission products for financial advisors and sometimes advisors push these products on persons who do not need them or cannot benefit from them. [read post]
12 Oct 2021, 7:57 am
Our Client Service Advisor, Jay Leon, is ready to help give you all of the tools you need in order to help you in this area of your retirement. [read post]
11 Mar 2019, 1:42 pm
Bol Mel was described as having served as the chairman of the South Sudan Chamber of Commerce and a principal financial advisor to South Sudanese President Salva Kiir while his company was allegedly receiving preferential treatment from high-level officials. [read post]
23 May 2016, 8:27 am
In 2010, President Obama signed into law the Dodd-Frank Act, which authorized the Securities and Exchange Commission (SEC) to create its own uniform standard of care for financial advisors. [read post]
10 May 2012, 9:48 am
The 3(38) advisor acts independently, and is not typically subject to conflicts of interest that might exist with advisors who represent the financial service providers to the plan. [read post]
29 Jul 2015, 7:28 am
From 2005 through August 2009, Vining was associated with Ameriprise Advisor Services, Inc. [read post]
25 Apr 2012, 8:25 am
Based on reports in the Investment News, it appears that Cambridge may actually be planning to continue to operate as an RIA called Cambridge Legacy Advisors Inc., so despite the brokerage firm’s withdrawal from FINRA and the bankruptcy filing of the broker-dealer, the firm could continue to service clients through its RIA. [read post]
1 Nov 2016, 10:23 am
”, reached out to prospective NFL Players in college regarding services, including bill payment, investment services, and financial guidance. [read post]
28 Jun 2010, 2:20 am
Event: Freshwater Wind 2010 Location: Cleveland, OH July 19-21 Sponsor: Financial Research Associates Event: Hedge Fund Auditing, Accounting & Administration Forum Location: New York, NY July 20 Sponsor: Southeastern Hedge Fund Association Event: SEHFA Barbeque Location: Atlanta, GA July 21 Sponsor: FRA Event: Hedge Fund of Funds Accounting, Auditing & Tax Location: New York, NY July 21 Sponsor: Opal Financial Group Event: 2010 Public Funds Summit East Location:… [read post]
18 Apr 2019, 12:48 pm
Even though buyers will likely perform independent financial review, working with a team of advisors to develop and present a narrative that best positions the seller’s assets (and liabilities) to the market is a sound approach. [read post]
14 Apr 2023, 4:30 am
The agency was not really designed to be the financial services equivalent of the Consumer Product Safety Commission that Warren originally suggested. [read post]
14 Apr 2023, 4:30 am
The agency was not really designed to be the financial services equivalent of the Consumer Product Safety Commission that Warren originally suggested. [read post]
20 Apr 2024, 5:25 pm
Forbes Advisor. https://www.forbes.com/advisor/debt-relief/does-bankruptcy-clear-tax-debt/[2] Offer in Compromise | Internal Revenue Service. [read post]
17 May 2013, 10:56 am
Steven Brewer, Adam Erickson, Brewer Investment Group, LLC, Brewer Financial Services, LLC and Brewer Investment Advisors, LLCCase number: 10-cv-6932 (United States District Court for the Northern District of Illinois)Case filed: October 28, 2010Qualifying Judgment/Order: March 29, 2013 5/17/2013 8/15/2013 2013-41 SEC v. [read post]
3 Aug 2022, 10:56 am
Merrill Lynch reportedly filed a Uniform Termination Notice for Securities Industry Registration (Form U5) stating that Frerking had been discharged for failing to adhere to firm standards regarding the servicing of a client and entering into a financial arrangement with a client without the firm’s knowledge or consent, according to the document. [read post]
24 Aug 2022, 9:38 am
To learn more, please see: FINRA Reportedly Bars Advisor Charles J. [read post]
16 Mar 2011, 5:00 am
Earlier this week the House Committee on Financial Services distributed a press release about five potential bills that would revise the financial service legislation: The Asset-Backed Market Stabilization Act The Small Company Capital Formation Act The Small Business Capital Access and Job Preservation Act The Business Risk Mitigation and Price Stabilization Act The Burdensome Data Collection Relief Act Besides the sensationalist graphics, the Small Business… [read post]
