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29 May 2018, 10:29 am
Because depreciation deductions are considered a form of gain, our taxpayer will face a state income tax liability on the gain associated with these deductions in addition to the capital gain from the sale. [read post]
22 Jan 2019, 12:28 pm
Regulators charge Royal Alliance Associates with Failure to Supervise According to an article in Investment News today, the state of Massachusetts has charged Royal Alliance Associates with failure to supervise a broker who recommended unsuitable investments to a couple, costing the investors nearly $60,000. [read post]
21 Nov 2014, 11:42 am
This is a serious moment of self-inquiry, especially for young associates who are considering what to do with their money. [read post]
2 Nov 2017, 7:25 am
The association prevailed in the trial court and the investment company appealed. [read post]
1 Jan 2020, 8:11 am
Legal Support (eDiscovery and Computer Forensics Division)Business Intelligence Associates (BIA) 5-Dec-17HAYSTACK ID LLC (Investee)TCF Capital Funding (Support Of Knox Capital Holdings and Maranon Capital) in Recapitalization (Investor)$17.800,000 30-Nov-17E-STETEY 28-Nov-17AllegoryIntegreon 31-Oct-17Avalon Document Services (Merger)C:Dox (Merger) 23-Oct-17NexLP (Investment)Method Capital and Dundee Venture Capital (Investors)$3,000,000 23-Oct-17HAYSTACKI [read post]
24 Apr 2021, 11:32 am
Kohn & Associates, Ltd. [read post]
17 Jul 2012, 6:40 am
Notwithstanding the risks of investing in private placements, brokerage firms continue to push this type of investment because of the high commissions associated with their sale and creation. [read post]
1 Mar 2021, 2:43 pm
Jenson recommended customers invest in an unsuitable concentration of church bonds. [read post]
7 Sep 2022, 6:30 am
Of course, this assumes a particular perspective on the risks associated with climate change—one can argue that climate change is not real or that, even if it is, regulators will not impose costly changes on companies. [read post]
1 Nov 2018, 7:47 am
John Stephen Pronovost Allegedly Engaged in Unsuitable Investments John Pronovost, of Watertown, Connecticut, allegedly made unsuitable investments and misrepresentations, according to FINRA Reports under review by investor rights attorney Alan Rosca. [read post]
15 May 2013, 11:23 am
A representative of the Michigan Funeral Directors Association advises that their request for proposal for a new investment advisor for the master trust has resulted in the selection of a firm that will not only assume a true fiduciary relationship to funeral directors and consumers, but that will also guide the Association towards a target date investment strategy. [read post]
7 Aug 2018, 6:00 am
The Pay-to-Play Rule prohibits registered investment advisers and exempt reporting advisers from offering investment advisory services for compensation to a government entity for a period of at least two years after the investment adviser or a covered associate of the investment adviser makes a political contribution to an official of the government entity. [read post]
5 Oct 2021, 8:54 am
If your financial advisor unsuitably recommended an investment in Corporate Property Associates 18 – Global Inc., you may be able to recover your losses by filing a FINRA arbitration claim against the brokerage firm that recommended the investment. [read post]
31 Jul 2012, 9:15 am
The user fee model is patterned after the Investment Adviser Association (IAA) and the North American Securities Administrators Association (NASAA), which have both succeeded through participant funding. [read post]
22 Feb 2022, 4:20 am
This blog was co-authored by: Hishaam Khan, Associate Designate The Financial Sector Conduct Authority (FSCA) published FSCA CIS Notice 1 of 2022 which determines amounts in addition to those in section 93(1) of the Collective Investment Schemes Control Act, 2002 (CISCA) that may be deducted by a manager from a portfolio. [read post]
20 Dec 2017, 7:00 am
The post CFD Investments Fined by FINRA for Non-Traditional ETF Sales appeared first on . [read post]
30 Sep 2011, 10:34 am
Investment fraud accounts for $40 billion in investor losses per year, according to the association of state securities regulators called the North American Securities Administrators Association (NASAA). [read post]
7 Jan 2016, 4:00 am
Black Pearl: Be where your clients are… trade associations and more. [read post]
21 Apr 2021, 8:45 pm
On 19 April 2021, ISDA, the Alternative Investment Management Association, Investment Company Institute, the Institutional Money Market Funds Association and SIFMA’s Asset Management Group sent a letter to the Bank of England, FCA and HM Treasury to ask them to permit EEA UCITS to be used as collateral in their non-cleared derivatives business. [read post]
28 Jun 2012, 9:42 am
Each product has particular benefits and risks associated with the investment of which potential investors should be aware. [read post]
