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3 Nov 2014, 10:38 am
A Financial Advisor invests wisely; conforms to all stat- utory fiduciary requirements; understands taxes. [read post]
3 Nov 2014, 6:18 am
In selling away cases, a financial advisor solicits investments in companies, promissory notes, or private placements that were not approved by the broker’s affiliated firm. [read post]
2 Nov 2014, 11:29 am
The court reasoned, “An informed trustee would not have remained idle while the seller communicated directly with the employee stock ownership trust’s independent appraiser and financial advisor to elevate the price at the participants’ expense. [read post]
31 Oct 2014, 10:50 am
Gangemi was quoted in an article published in FundFire, a Financial Times service, titled “Wells Hit with Racial Discrimination Suit,” which involves a lawsuit that was filed in the U.S. [read post]
30 Oct 2014, 8:12 am
Most financial advisors target 31-35% of gross income to housing. [read post]
30 Oct 2014, 7:45 am
Currently, the fiduciary duty rule only applies to financial advisors (and brokers under certain circumstances) – more commonly recognized by the public as advisors who charge a flat fee for their services as opposed to commissions. [read post]
29 Oct 2014, 4:35 am
"Part of the hedge fund interest is in ancillary services associated with Workers’ Compensation and managing of the claims. [read post]
26 Oct 2014, 7:08 pm
Municipal Advisor Regulatory Updates. [read post]
24 Oct 2014, 3:22 pm
In fact, FINRA found that Pappalardo was involved in several outside business activities that he failed to disclose to Cetera including ongoing involvement in C2C and its marketing arm Prosperity Financial Estate Planning and Insurance Services (Prosperity Financial). [read post]
24 Oct 2014, 4:00 am
As has been pointed out elsewhere, a positive aspect of the past few years has been the focus on poor customer service, pricing policies, profitability and strategic decision making. [read post]
22 Oct 2014, 11:22 am
A former intern at a New York City financial services company has sued the firm and her former supervisor for sexual harassment and other claims. [read post]
21 Oct 2014, 12:01 pm
Full Service Rental Rate: Rental rates that include all operating expenses such as utilities, electricity, janitorial services, taxes and insurance. [read post]
17 Oct 2014, 7:47 am
According to his FINRA Broker Report, Power was registered with Morgan Keegan from May 2007 through February 2008, Allstate Financial Services from March 2008 through August 2010, Valic Financial Advisors from August 2010 through January 2013, Questar Capital from March 2013 through November 2013, and Keystone Capital Corporation from January 2014 through August 2014. [read post]
15 Oct 2014, 10:57 am
They moved to certify a class of approximately 1,000 other financial advisors. [read post]
13 Oct 2014, 2:39 pm
If your business is unprofitable and creditors are constantly demanding payment, discuss your legal options with a DCDM bankruptcy attorney and financial advisor regarding whether bankruptcy protection is suitable for your situation. [read post]
8 Oct 2014, 8:29 pm
On the other hand, the IFIs have to contend with the rise of new financial and political actors. [read post]
7 Oct 2014, 10:29 am
On the other hand, the IFIs have to contend with the rise of new financial and political actors. [read post]
6 Oct 2014, 11:59 am
Lauderdale, FL **** Cole-Frieman & Mallon provides legal services for hedge fund managers and other groups within the investment management industry. [read post]
6 Oct 2014, 2:11 am
It is hard to say that a lot of outsourcing is “integral” to financial services provided by FIs e.g. a printing service, a facilities management service or a cloud service for document storage. [read post]
4 Oct 2014, 7:24 am
These firms, and their financial advisors have tremendous influence over whether a customer establishes a brokerage or investment advisory account. [read post]
