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10 Nov 2015, 7:48 pm
Friends, family and other professional advisors are trustworthy sources. [read post]
10 Nov 2015, 4:32 am
” Although the CFPB’s jurisdiction obviously is focused on consumer financial services, it also extends to enforcement of some statutes that apply to small businesses, such as the ECOA and FCRA. [read post]
9 Nov 2015, 6:34 am
In addition, the Zale decision underscores again the risks confronting financial advisors to sellers in merger transactions, since the aiding and abetting fiduciary breach claim against the board’s financial advisor survived even though the fiduciary duty claims against the directors themselves were dismissed. [read post]
9 Nov 2015, 2:49 am
Don't Miss Bill Singer's CASE IN POINT Video Series Wall Street Legal, Regulatory and Compliance Issues New Episodes Every TuesdayNovember 10, 2015: Veteran Wall Street lawyer and BrokeAndBroker.com blogger Bill Singer speaks to the Reformed Broker, Josh Brown, on his history in the financial services industry; his disillusionment with the brokerage model and with Wall Street; why young advisors should not follow his example; his new focus as a… [read post]
8 Nov 2015, 6:27 pm
Oct. 29, 2015), in a rare grant of a motion for reargument pursuant to Rule 59, dismissed a financial advisor after the court had previously denied the same motion to dismiss the financial advisor. [read post]
6 Nov 2015, 4:50 pm
Authored by attorneys David Johnson and Joseph Regan, the blog, in their own words, “provides important legal news, updates on recently decided and pending case precedent, and commentary to directors, officers, managers, in-house counsel, trust officers, and wealth advisors who work for financial institutions that serve in fiduciary roles, as well as attorneys and court personnel who provide legal services in the fiduciary area. [read post]
5 Nov 2015, 9:31 am
Make sure that you’re having a productive investor/ financial advisor relationship. [read post]
4 Nov 2015, 6:46 am
” When making your financial, tax and estate plans, do not go it alone. [read post]
28 Oct 2015, 12:56 pm
In connection with the 2013 sales efforts, which were covered in the media, BMC’s financial advisor contacted potential financial buyers and received three expressions of interest: Bain Capital at $46-$47/share; the Alternative Buyer at $48/share; and one from a new financial buyer (“Buyer A”) at $42-$44/share. [read post]
28 Oct 2015, 6:07 am
According to InvestmentNews, only about 12% of financial advisors have any type of disclosure event on their records. [read post]
26 Oct 2015, 7:30 am
Friends, family and other professional advisors are trustworthy sources. [read post]
26 Oct 2015, 7:16 am
For instance in 2001, UBS Financial Services Inc. [read post]
25 Oct 2015, 11:12 am
Online Services – Banking, Dating & General Guidelines Don’t Upload Financial Data to Questionable Sources video created by the Intel Corporation The Perils and Pitfalls of Online Dating: How to Protect Yourself from the Privacy Rights Clearinghouse. [read post]
23 Oct 2015, 3:00 am
Last month, the House Financial Services Committee sent a bill to overturn the rule to the floor. [read post]
20 Oct 2015, 8:42 am
The proposed interpretive notice, if adopted, would require NFA member firms (e.g., registered commodity pool operators (CPOs) and commodity trading advisors (CTAs)) to adopt and enforce a written ISSP. [read post]
19 Oct 2015, 8:46 pm
Ranching businesses that employ foreign workers with H-2A VISAs to herd sheep, goats, cattle or other range livestock (“Herders”) should begin preparing to comply with significant changes in the Labor Department regulations governing the recruitment and employment of Herders made in the new Labor Department Final Regulation on Temporary Agricultural Employment of H-2A Foreign Workers in the Herding or Production of Livestock on the Range (Final Rule). [read post]
19 Oct 2015, 8:00 am
Bernard Financial Services, Inc. out of the Russellville, Arizona office location. [read post]
19 Oct 2015, 7:07 am
Are there financial resources to pay for care or is Medicaid a likely payer? [read post]
12 Oct 2015, 5:30 pm
” – Biometric Data and Privacy – Tampa lawyer Kirk Davis of Akerman on the firm’s blog, Health Law Rx The Lessons (and Wisdom) of Rihanna – Detroit attorney Michael Groebe of Foley & Lardner on the firm’s blog, Labor & Employment Law Perspectives The Pot Safety Lawsuits Have Landed: Marijuana Businesses Need to Start Preparing Now – Chicago lawyer Rebecca Millican of Harris Moure on the firm’s Canna Law Group Fall Prevention… [read post]
12 Oct 2015, 9:45 am
An experienced elder law attorney will have worked with financial advisors and will be able to point out potential financial resources, uncover tax deductions, and counsel against imprudent investment decisions. [read post]
