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13 Dec 2007, 7:54 am
Wondering why it is so important for ERISA fiduciaries to prudently select mutual funds with reasonable management fees? [read post]
30 Aug 2012, 7:32 am
American Family Mutual, to support their arguments. [read post]
20 Mar 2014, 10:52 am
He also provided a false address to foreign government officials and payment processors. [read post]
23 Mar 2014, 9:01 pm
Perhaps this result could have been avoided by a boilerplate provision that addressed errors of computation; or other language that isolated the distribution and then provided the method for any necessary correction. [read post]
23 May 2011, 12:49 pm
Cases provided courtesy of Lexis. [read post]
22 Mar 2016, 2:45 pm
The story provides an excellent case study in the operation of international safety standards in the aviation sector. [read post]
2 Aug 2018, 12:07 am
; Is a Korean language translation provided? [read post]
21 May 2010, 11:26 am
The defendants noted the very title of the whistleblower section of SOX is “Protection for Employees of Publicly Traded Companies Who Provide Evidence of Fraud. [read post]
9 May 2019, 12:29 pm
This information is all publicly available and provided to you by The White Law Group. [read post]
23 May 2022, 6:12 am
The Commission determined that since at least February 2014, the agreement between the adviser’s affiliated broker and the clearing broker provided that the clearing broker would share a portion of the recurring fee with the affiliated broker based on customer assets invested in mutual funds in the NTF program. [read post]
16 Nov 2016, 12:07 pm
In September 2015, MMLIS began a review to determine whether the firm provided available sales charge waivers to eligible customers. [read post]
20 Mar 2014, 5:35 am
FINRA also found that the firm failed to provide adequate training regarding the sale of ETFs. [read post]
28 Mar 2022, 6:57 am
& State Farm County Mutual Ins. [read post]
10 Aug 2012, 9:12 am
The Securities and Exchange Commission recently charged a Florida-based investment manager and his firm for failing to provide SEC examiners with records of a mutual fund advisory business that invested in NASCAR-related stocks. [read post]
10 Aug 2012, 9:12 am
The Securities and Exchange Commission recently charged a Florida-based investment manager and his firm for failing to provide SEC examiners with records of a mutual fund advisory business that invested in NASCAR-related stocks. [read post]
10 Aug 2012, 9:12 am
The Securities and Exchange Commission recently charged a Florida-based investment manager and his firm for failing to provide SEC examiners with records of a mutual fund advisory business that invested in NASCAR-related stocks. [read post]
10 Aug 2012, 9:12 am
The Securities and Exchange Commission recently charged a Florida-based investment manager and his firm for failing to provide SEC examiners with records of a mutual fund advisory business that invested in NASCAR-related stocks. [read post]
6 Dec 2022, 3:00 am
As a result, her “start date” was mutually agreed to have been in 1996, instead of 2000. [read post]
6 Dec 2022, 3:00 am
As a result, her “start date” was mutually agreed to have been in 1996, instead of 2000. [read post]
10 Sep 2008, 12:59 am
The SEC has formally proposed that US investment firms provide their financial information in interactive form. [read post]
