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5 Dec 2014, 10:15 am
Young”), a registered representative formerly employed by UBS Financial Services, Inc. [read post]
5 Dec 2014, 6:19 am
The law offices of Gana LLP are investigating a series of claims before The Financial Industry Regulatory Authority (FINRA) in relation to the conduct of financial advisor Robert Smith (Smith). [read post]
4 Dec 2014, 1:00 pm
Event: HFA Annual Holiday Party Location: New York, NY Date: December 11, 2014 Sponsor: Infovest 21 Event: Finding & Evaluating Co-Investing Opportunities Location: New York, NY **** Cole-Frieman & Mallon provides legal services for hedge fund managers and other groups within the investment management industry. [read post]
4 Dec 2014, 5:05 am
Brian Wolfman and Bradley Girard covered the oral argument for this blog, while Leland Beck weighed in at Federal Regulations Advisor. [read post]
3 Dec 2014, 10:41 am
As a result, the independent public accountants that conduct their audits express “no opinion” on the financial statements of the assets they hold on behalf of plans. [read post]
19 Nov 2014, 3:07 pm
Bloomberg Law: BankingWhy Financial Services? [read post]
18 Nov 2014, 8:46 am
Proposed Rule 2390, which is clearly modeled on Rule 206(4)-5, would restrict FINRA’s member firms from engaging in distribution or solicitation activities on behalf of registered investment advisers that provide or seek to provide investment advisory services to government entities if “covered employees” of those advisors make a disqualifying political contribution. [read post]
18 Nov 2014, 8:46 am
Proposed Rule 2390, which is clearly modeled on Rule 206(4)-5, would restrict FINRA’s member firms from engaging in distribution or solicitation activities on behalf of registered investment advisers that provide or seek to provide investment advisory services to government entities if “covered employees” of those advisors make a disqualifying political contribution. [read post]
18 Nov 2014, 8:28 am
The post Documenting Employee Performance Issues and Teeth Cleaning – Not Fun, But Necessary appeared first on Michigan Employment Law Advisor. [read post]
17 Nov 2014, 7:07 am
Mike Beebe to Pardon Son on Drug Charge” by Sam Levine for Huffington Post Hawaii: “Court: State must release financial disclosures for boards” by Nathan Eagle for Honolulu Civil Beat North Carolina: “Ex-Duke Energy Lawyer Now Advising NC Regulators” by Michael Biesecker and Mitch Weiss (Associated Press) for Raleigh News and Observer Ohio: “Canton Financial Advisor Sentenced to 45 Months in Ohio Treasurer’s Office Kickback… [read post]
14 Nov 2014, 12:49 pm
The group claims that this move will help insulate it from the effects of US financial tools to cripple their efforts. [read post]
13 Nov 2014, 11:00 am
There are more lawyers, but there are also more people competing for legal services that firms once handled. [read post]
13 Nov 2014, 5:51 am
Unless your company is in the financial services industry, or is otherwise qualified to make investment decisions for its 401(k) plan, the plan needs investment advice from an independent fiduciary who has no financial stake in your plan’s investment decisions. [read post]
10 Nov 2014, 10:37 am
Many investors were recommended by their financial advisors to heavily invest in these funds and have watched their accounts be sent into free fall as a result. [read post]
10 Nov 2014, 9:56 am
This may provide an opportunity for more bipartisan legislation in the financial services area. [read post]
7 Nov 2014, 10:47 am
Instead, a smaller mission, entitled “Resolute Support,” will begin, providing training, advice, and financial assistance to the country. [read post]
7 Nov 2014, 6:02 am
The court also rejected criticisms of the seller's financial advisor based on supposed conflicts of interest and flawed valuation methodologies. [read post]
6 Nov 2014, 1:16 pm
The New York Times tells us that Egyptian President Abdel Fattah as Sisi has appointed Fayza Abul Naga as a national security advisor. [read post]
4 Nov 2014, 5:06 pm
Condominium owners may or may not have access to hotel amenities such as housekeeping, room service, spa privileges, parking, and the like. [read post]
4 Nov 2014, 6:15 am
On October 10, 2014, the Delaware Court of Chancery issued a decision awarding nearly $76 million in damages against a seller’s financial advisor. [read post]
