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18 Oct 2011, 7:22 am
Read more about the Hong Kong SFC and MA joint-consultation. [read post]
16 Feb 2009, 9:32 am
TARP recipients are permitted (subject to Treasury's consultation with the appropriate Federal banking agency, if any) to repay any assistance previously received without regard to any waiting periods and without regard to whether the financial institution has replaced the funds with funds from any other source. [read post]
14 Feb 2022, 9:53 am
2021 was an extraordinary year in financial crime. [read post]
13 Aug 2012, 3:26 pm
Mourdock is a former oil company geologist and coal company executive. [read post]
30 Apr 2015, 9:00 am
Mark Reilly, head of Verisight, Inc., a firm of executive compensation consultants, told the Journal that this type of compensation structure is more often found in companies facing financial hardship, and the lack of salary is offset by more generous stock awards. [read post]
5 Nov 2013, 7:46 am
Federal regulators, including the Securities and Exchange Commission (SEC) allege that hedge fund manager and chief executive of Aletheia Research and Management, Peter J. [read post]
9 Nov 2022, 10:49 am
Trades must also be made under the standard of “best execution”, which means that the advisor must attempt to make trades with the best combination of low cost and effective execution. [read post]
6 Mar 2012, 7:26 am
What steps can the Board and top executives take to minimize their liability? [read post]
20 Mar 2012, 6:23 am
The Financial Industry Regulatory Authority (FINRA) has fined Citi International Financial Services, LLC ("Citi"), a subsidiary of Citigroup, Inc., $600,000 and ordered it to pay $648,000 in restitution for excessive markups and markdowns charged to customers on bond transactions. [read post]
4 Mar 2011, 1:31 pm
I agree, but would expand the list to include a will, powers of attorney for financial affairs and for health care, and a living will. [read post]
14 Apr 2016, 3:04 am
Executing and Filing Necessary Documents The final stage during the mediation process is to execute and file (if appropriate) any documents with the court. [read post]
12 Jul 2021, 2:26 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended former Aegis Capital Corp. financial advisor Douglas Szempruch from the securities industry for 12 months. [read post]
2 Apr 2015, 5:38 am
On 1 April 2015, President Obama signed an Executive Order (the Order) authorizing the imposition of sanctions on individuals and entities determined to be responsible for or complicit in malicious cyber-enabled activities constituting a significant threat to the national security, foreign policy, or economic health or financial stability of the United States. [read post]
25 Aug 2017, 6:17 am
Morgan Stanley Censured & Fined According to FINRA, Morgan Stanley has agreed to pay $500,000 to the Financial Industry Regulatory Authority and restore $103,219 to investors for improperly executing trades of preferred securities. [read post]
15 Jun 2010, 1:49 pm
Executive compensation and investor protection will be among the topics under discussion when U.S. [read post]
31 Oct 2008, 4:44 am
His irrelevance is such that he must stoop to consulting an association substantially composed of financial crack dealers, who were demonically characterized as "structured settlement thought leaders" by Hindert earlier this year. [read post]
22 Jul 2019, 4:54 am
FINRA Panel Awarded Investors More than $1M for Sales or REITS and Other Complex ProductsIn a case that points up many of the problems that have been plaguing the securities industry for years, a FINRA panel of arbitrators awarded six investors more than $1M in relief after they alleged that a financial advisor and three executives for Berthel Fisher & Co sold them unsuitable complex products.The panel found that the Berthel executives, Thomas Berthel, Ronald… [read post]
22 Dec 2017, 11:22 am
While the law specifically stated all previously properly executed Financial Power of Attorney documents were still valid, I’ve had some clients run into problems with older documents. [read post]
20 May 2016, 6:45 am
Do Compensation Consultants Have Distinct Styles? [read post]
31 Mar 2011, 4:10 am
It notes that incentive compensation paid by a major financial institution to those that are in a position to cause the company to take inappropriate risks is a "significant policy issue" - but then the Staff goes on to note that the proposal relates to the compensation paid to a large number of employees, thus falling into the "general employee compensation" line of no-action letters since it was not limited to senior executive officers. [read post]
