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13 May 2021, 12:54 pm
Silver Law Group’s lawsuit, filed jointly with two other firms, alleges that Seeman Holtz’s financial advisors improperly pushed investors (plaintiffs) to invest their money in promissory notes, which were unregistered securities. [read post]
18 Jan 2007, 1:54 pm
In the investment bank's retail financial services, net income decreased from $803 million to $718 million. [read post]
4 Sep 2009, 3:09 pm
When the financial markets experienced a downturn, this investment strategy, which arguably suffered from a lack of diversification, resulted in a drastic drop in the asset value of the trust. [read post]
7 Sep 2010, 8:31 pm
” The good news is that almost all of the HAMP participating servicers have already signed on to participate in the new program, so most homeowners are very likely to find that they have a STUPID Servicer handling their loan. [read post]
27 Aug 2014, 5:05 am
- How does it differ from a proxy advisor? [read post]
27 Apr 2011, 6:31 am
The typical business plan includes the following sections: Executive Summary; Market Analysis; Company Description; Organization & Management; Marketing; Service or Product Line; Funding; Financials; and Appendix. [read post]
30 Nov 2023, 7:33 am
“We have consulted with God, legal, financial and other advisors to assist us with this transaction. [read post]
16 Jul 2024, 2:49 pm
If you plan to file only Form 4868, address it to: Department of the Treasury Internal Revenue Service Austin, TX 73301-0215 USA If you plan to file Form 4868 and attach a tax payment, address it to: Internal Revenue Service P.O. [read post]
15 Jan 2021, 1:48 pm
VALIC Financial Advisors – Finally, in another large settlement involving financial advisors, VALIC Financial Advisors paid $40 million to resolve SEC charges that deliberately steered clients to more expensive mutual funds for which VFA received both 12b-1 fees and revenue sharing from the clearing broker, while also receiving advisory fees from its clients and telling those clients those fees would cover execution costs. [read post]
2 Feb 2018, 6:10 am
Posted by HLS Forum on Corporate Governance and Financial Regulation, on Friday, February 2, 2018 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of January 26–February 1, 2018. [read post]
28 Feb 2010, 1:18 am
Below is a more detailed outline of the seminar which can also be found here. **** Registration for National Futures Association’s Commodity Pool Operator/Commodity Trading Advisor Regulatory Seminar Tuesday, March 2, 2010 UBS Conference Center Chicago, Illinois In light of the economic upheaval that has dramatically affected the financial markets, the regulatory landscape for Commodity Pool Operators and Commodity Trading Advisors is changing. [read post]
7 Oct 2016, 6:01 am
Schwarcz, Duke University School of Law, on Tuesday, October 4, 2016 Tags: Banks, Capital markets, Credit risk, Credit supply, Debt securities, Financial crisis, Financial regulation, Housing market, Liquidity, Mortgage lending, Subprime securities, Systemic risk The Investors’ Exchange Posted by Kevin J. [read post]
27 Mar 2011, 6:05 pm
Moreover, Warren is an Assistant to the President and Special Advisor to the Secretary of the Treasury on the Consumer Financial Protection Bureau. [read post]
28 Jul 2015, 8:05 am
Well known for her extensive work with health care, insurance and other highly regulated entities on corporate compliance, internal controls and risk management, her clients range from highly regulated entities like employers, contractors and their employee benefit plans, their sponsors, management, administrators, insurers, fiduciaries and advisors, technology and data service providers, health care, managed care and insurance, financial services, government… [read post]
11 Jun 2014, 11:45 am
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
3 Jul 2018, 7:03 am
An elder law attorney may work with the family’s physician, social worker, financial advisors and others to assure the senior receives the very best quality of life possible at every stage. [read post]
28 Feb 2007, 12:38 pm
Anyone can, and many do, factor their payments and cash them in at substantial cost, as a result of not being able to manage their money or other financial pressures. [read post]
4 May 2018, 11:57 am
The Senior Program Manager will oversee contracted neutral service providers and also provide direct mediation, facilitation, or training services as appropriate. [read post]
12 Nov 2019, 2:53 pm
For more up-to-date coverage from Tax Controversy and Financial Crimes Report, please subscribe by clicking here. [read post]
29 Nov 2011, 3:29 pm
Capital Financial Services of Minot, ND, was ordered to pay $200,000 in restitution to affected customers, and Brian W. [read post]
