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1 Sep 2015, 7:55 am
If you are not sure how this will affect you, we suggest contacting a trusted legal advisor. [read post]
31 Aug 2015, 5:54 pm
Hotel owners have to consider that they own, hold and maintain sensitive personal information, such as employment records, health information, financial data and business secrets. [read post]
31 Aug 2015, 9:17 am
Just like our group legal plans, the Financial Wellness program is centered on giving service as soon as possible. [read post]
31 Aug 2015, 8:10 am
According to InvestmentNews, only about 12% of financial advisors have any type of disclosure event on their records. [read post]
29 Aug 2015, 6:35 am
Editor's Note: Dan Ryan is Leader of the Financial Services Advisory Practice at PricewaterhouseCoopers LLP. [read post]
27 Aug 2015, 8:02 am
Kentucky’s external P3 advisors on the project were Herbst Stokes and Lide PC, Polsinelli PC, and Dinsmore & Shohl LLP. [read post]
27 Aug 2015, 5:17 am
Senior Savings Protection Act One new way to protect seniors involves giving stock brokers and financial advisors authority to report suspicious activity or even stall transactions that may be tainted by exploitation. [read post]
26 Aug 2015, 12:31 pm
This argument is based on the fact that an exception in a previous trade agreement on services, the General Agreement on Trade in Services (GATS), will carry over to TISA. [read post]
26 Aug 2015, 6:30 am
Friends, family and other professional advisors are trustworthy sources. [read post]
25 Aug 2015, 1:17 pm
FinCEN has consistently broadened the definition of “financial institution” and its oversight of financial services providers of all stripes. [read post]
25 Aug 2015, 10:41 am
Dopazo was registered with multiple firms including Keystone Capital, Cantella & Co., Raymond James Financial, Dreyfus Service Corp., Natwest Investor Services, Landmark Brokerage Services, MML Investors Services, and Massachussetts Mutual Life Insurance Co. [read post]
25 Aug 2015, 8:24 am
On August 6, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Rasheed (Richard) Adams (“Adams”), a former broker at Caldwell International Securities Corporation (“CISC”), was barred from the financial services industry for various violations of the securities laws, including, but not limited to, excessive trading and churning in his clients’ accounts and his failure to amend his Form U4 to disclose… [read post]
24 Aug 2015, 7:16 am
PKG allegedly provided financial “concierge” services to professional athletes who played in the NFL and the NBA. [read post]
24 Aug 2015, 5:53 am
As such, financial services are crucial to the economic well being of the Garden State. [read post]
21 Aug 2015, 6:07 pm
Even when not a fiduciary, however, insurance, administrative services or other plan vendors and consultants also should keep in mind that employers and fiduciaries that incur unexpected excise tax or other liability for an improperly designed or administered plan are likely to look to the consultants and brokers, administrative or other services or other vendors or advisors they relied on to help design or administer the group health… [read post]
21 Aug 2015, 11:24 am
See Public Health Service (PHS) Act §2707(b). [read post]
18 Aug 2015, 7:52 pm
A new disability discrimination lawsuit filed by the U.S. [read post]
18 Aug 2015, 6:24 am
According to InvestmentNews, only about 12% of financial advisors have any type of disclosure event on their records. [read post]
18 Aug 2015, 6:23 am
From January 2003, until May 2007, Honingstock was registered with UBS Financial Services, Inc. [read post]
17 Aug 2015, 3:34 am
Shawe instructs company employees to intercept and bring to him Elting’s mail, including mail from her lawyers and their retained financial advisor, and to monitor her phone calls. [read post]
