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15 Jul 2012, 9:00 am
We know that competition for professional service advisors is getting more and more intense with more people entering the field. [read post]
18 May 2010, 8:16 am
We know that competition for professional service advisors is getting more and more intense with more people entering the field. [read post]
30 Aug 2010, 3:10 pm
Truland Service Corp., 56 Fed.Appx. 108, 110 (4th Cir.2003); Prudential Securities, Inc. v. [read post]
11 Sep 2014, 6:30 am
An experienced estate planning attorney will team with you and your other professional advisors (think insurance professional, accountant and financial advisor) to create an appropriate plan meeting your objectives and your family’s needs—without any pressuring sales job. [read post]
8 Nov 2022, 1:03 pm
(I'm still waiting on a referral fee for that service....) [read post]
7 Jul 2024, 1:24 pm
The husband worked as a financial advisor starting in the early 2000s. [read post]
8 Nov 2019, 5:55 am
Securities and Exchange Commission, on Tuesday, November 5, 2019 Tags: Capital markets, Conflicts of interest, Corporate debt, Credit risk, Disclosure, LIBOR, Municipal securities, Ratings agencies, Ratings disclosure The Basis for ISS’ Lawsuit Against the SEC Posted by Steven Friedman, Institutional Shareholder Services, Inc., on Tuesday, November 5, 2019 Tags: Glass Lewis, Institutional… [read post]
1 Aug 2012, 1:06 pm
CFPB's central mission is "to make markets for consumer financial products and services work for Americans ..... [read post]
18 Sep 2020, 5:50 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]
12 Apr 2024, 8:13 am
This creates a fertile ground for generating referrals from financial advisors, insurance agents, and CPAs, who will see an uptick in clients needing updated estate plans and more complex tax planning strategies. [read post]
13 Jan 2020, 7:51 am
Tax advisors, professional services firms, and taxpaying companies alike are grappling with new disclosure rules, which will be fully implemented my mid-2020. [read post]
17 Apr 2017, 4:00 am
But to them, you hold their legal and financial lives in your hands. [read post]
2 Dec 2016, 6:55 pm
The President-elect’s personal financial interests further muddies the situation. [read post]
17 Sep 2010, 5:00 am
Here are some recent compliance-related stories that I found interesting: Fighting to Protect Consumers by Elizabeth Warren in the Huffington Post The president asked me, and I enthusiastically agreed, to serve as an Assistant to the President and Special Advisor to the Secretary of the Treasury on the Consumer Financial Protection Bureau. [read post]
10 Mar 2008, 6:52 pm
For starters, we found that Huiwen Liu is the sister-in-law of China Fire’s chief executive officer, Bin “Brian’’ Lin – a fact not mentioned in any SEC filing.Sharesleuth also found that China Fire’s merger partner, UniPro Financial Services Inc., was one of three shells packaged by the same group of American financiers and middlemen, some of whom have previously been connected to stock manipulation schemes. [read post]
17 Nov 2014, 7:07 am
Mike Beebe to Pardon Son on Drug Charge” by Sam Levine for Huffington Post Hawaii: “Court: State must release financial disclosures for boards” by Nathan Eagle for Honolulu Civil Beat North Carolina: “Ex-Duke Energy Lawyer Now Advising NC Regulators” by Michael Biesecker and Mitch Weiss (Associated Press) for Raleigh News and Observer Ohio: “Canton Financial Advisor Sentenced to 45 Months in Ohio Treasurer’s Office Kickback… [read post]
7 Aug 2017, 3:00 am
Friends, family and other professional advisors are trustworthy sources. [read post]
13 Mar 2015, 7:05 am
However, the audio recordings show that these brokers’ concerns were unacceptable to Miguel Ferrer, the chairman of UBS Financial Services Inc of Puerto Rico, who stated that the brokers should change their mindset or leave the firm. [read post]
14 Apr 2014, 4:04 am
But what about the financial services industry. [read post]
7 Feb 2013, 5:20 am
Sources: Administrative Order against Claymore Advisors, LLC (.pdf) Administrative Order against Fiduciary Asset Management, LLC (.pdf) SEC Settles Administrative Proceedings Against Registered Closed-End Fund Adviser and Subadviser Over Inadequate Disclosure of Fund Derivatives Activities in Goodwin Procter’s Financial Services Alert [read post]
