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9 Sep 2015, 1:56 pm
Contact us online or at (212) 248-7431 today to schedule a free and confidential consultation. [read post]
9 Feb 2015, 1:58 pm
Fairness at the time of the execution means that there was complete financial disclosure, had the ability to obtain advice of counsel, the agreement was free of duress, misrepresentation, and fraud and the terms are fair. [read post]
20 Nov 2009, 6:16 am
The proposed rules, among other things, would increase compensation practice disclosure to: require disclosure of the relationship between compensation policies and risk, for any employees involved in material risk taking activities (not limited to executive officers); change the manner in which stock and option awards are currently reported to require reporting of compensation for the entire award at the date of grant; require additional disclosure regarding director qualifications and… [read post]
7 Feb 2011, 10:00 am
If you're considering making a change, including going out on your own with an independent broker-dealer, or even starting your own RIA, consider consulting with a lawyer experienced in this area, such as The Beck Law Firm, LLC, as well as a CPA to help you make a plan, then successfully execute it. [read post]
11 Nov 2009, 6:33 am
The draft also directs the SEC to clarify disclosures relating to executive compensation, and require the disclosure of information showing the relationship between executive compensation and the financial performance of the company. [read post]
16 Jul 2008, 11:44 am
In relation to its Executive Vice President/General Counsel, Andrew S. [read post]
8 Aug 2020, 10:28 pm
Third, 42 U.S.C. 5174(e) authorizes the President, in consultation with a Governor, to provide financial assistance during a major disaster. [read post]
Advisor Neil Fineman Barred By Regulator For Selling $2.5 Million in Private Securities Transactions
9 Jun 2018, 1:03 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Neil Fineman (Fineman), operating under the d/b/a Executive Wealth Strategies, in December 2017, was barred from the financial industry by FINRA concerning allegations that he engaged in private securities transactions. [read post]
29 Jun 2010, 5:23 am
Note – The Dodd-Frank financial reform bill could significantly reshape the American economic landscape. [read post]
21 Apr 2016, 11:12 am
If you are in need of legal services, contact us to schedule a one-on-one consultation today. [read post]
8 Nov 2012, 8:09 pm
In simple terms, a tactic is the way you intend to execute your plan. [read post]
23 Feb 2015, 9:00 am
Saba Software became the subject of an SEC investigation and enforcement action arising out of an alleged scheme to overstate revenues by overbooking and pre-booking time statements of international consultants in order to meet pre-arranged time estimates. [read post]
21 Nov 2008, 7:00 pm
As the issue of executive compensation continues to occasionally surface (most recently in connection with some financial institutions foregoing bonuses), it is worth noting the role that the Delaware courts have played in the problem. [read post]
17 Apr 2014, 1:09 pm
Three other top DBSI executives were also convicted on multiple fraud charges. [read post]
16 Dec 2020, 6:08 am
When COVID-19 first began impacting the US economy, many companies faced unclear financial forecasts and uncertainty on whether incentive plans would appropriately reward executives and employees for their contributions, pre– and post–COVID-19. [read post]
3 Jan 2010, 5:11 pm
The Government has released the final Productivity Commission report on executive remuneration. [read post]
New York DFS Consumer Protection and Financial Enforcement Division: New Name, New Look, Old Mandate
29 May 2019, 12:08 pm
The new Consumer Protection and Financial Enforcement Division (the “CPFED”) combines seven previously separate divisions and units – Enforcement, Investigations and Intelligence, the Civil Investigations Unit, the Producers Unit, the Consumer Examinations Unit, the Student Protection Unit, and the Holocaust Claims Processing Office – under a single executive deputy superintendent. [read post]
15 Jun 2015, 8:01 am
Our consultations are free of charge and the firm is only compensated if you recover. [read post]
7 May 2015, 7:09 am
Our consultations are free of charge and the firm is only compensated if you recover. [read post]
25 Jul 2016, 8:04 am
“This settlement along with our prior case against the CEO shows that public companies and their executives must be truthful and forthcoming about its overseas consulting agreements or otherwise pay the consequences. [read post]
