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3 Oct 2014, 6:29 am
The resulting “advice gap” was much worse than predicted, Piwowar said, with many now reporting that the services offered by financial advisers are too expensive and opting to manage their own portfolios.Based on the data available to date, Piwowar said the potential benefits of a fiduciary standard seem elusive while the potential costs may be very high. [read post]
2 Oct 2014, 8:22 am
Wright was at AXA Advisors, a subsidiary of Axa Equitable Financial Services, from 1983 until 2012. [read post]
2 Oct 2014, 6:28 am
Shannon was employed as a financial advisor with Morgan Stanley from September 2008 through July 2013 when he was allowed to voluntarily resign from the firm due to FINRA’s regulatory action. [read post]
1 Oct 2014, 10:46 am
John Hancock, in which the Court held that John Hancock’s role as an advisor and service provider for a company 401(k) plan, by which it helped select fund options and administer participant investments, did not render it a functional fiduciary under ERISA for purposes of an excessive fee claim. [read post]
26 Sep 2014, 9:38 am
Monika Ambrus (Educational Testing Service), Karin Arts (Erasmus Universiteit Rotterdam), Ellen Hey (Erasmus Universiteit Rotterdam), & Helena Raulus (Erasmus Universiteit Rotterdam) have published The Role of ‘Experts' in International and European Decision-Making Processes: Advisors, Decision Makers or Irrelevant Actors? [read post]
25 Sep 2014, 6:08 pm
Wyly’s defense attorney claimed that the brothers merely followed the advice of their legal and financial advisors and “were never given any reason to believe the financial transactions in question were anything other than legal. [read post]
24 Sep 2014, 5:52 am
Meyer entered the securities industry in January 2000 as an investment company products and variable contracts representative with Franklin Financial Services, Corp. [read post]
22 Sep 2014, 7:19 am
Selling away occurs when a financial advisor solicits investments in companies or promissory notes that were not approved by the broker’s affiliated firm. [read post]
19 Sep 2014, 2:11 am
”In total, approximately 2000 of the total 33 000 investors have lodged complaints against their financial advisors regarding investments in Sharemax.Termination of rescue proceedingsAs part of the liquidation process, Sars also applied for the termination of the rescue proceedings for Sharemax Investment as a the requirements for business rescue had not been fulfilled. [read post]
18 Sep 2014, 4:29 pm
They are also hospitality consultants and business advisors. [read post]
17 Sep 2014, 5:38 pm
The list should include both personal and professional contacts: Emergency contacts Physicians Family members Friends Spouse’s employer Attorney Insurance agent Financial advisor Tax advisor Take care of yourself During such an emotionally wrenching time, be sure to take care of yourself. [read post]
16 Sep 2014, 11:40 am
To achieve this, the SEC requires public companies to disclose meaningful financial and other information to the public. [read post]
15 Sep 2014, 2:47 am
In April 2013, Pickvest’s licence to render financial services was withdrawn by the Registrar of Financial Services Providers. [read post]
12 Sep 2014, 3:01 pm
The working group will also include broker-dealer representatives from Signator Investments Inc., Prospera Financial Services, LPL Financial, Wells Fargo Advisors, Edward Jones, and Bank of America/Merrill Lynch.Lack of uniformity. [read post]
11 Sep 2014, 6:30 am
An experienced estate planning attorney will team with you and your other professional advisors (think insurance professional, accountant and financial advisor) to create an appropriate plan meeting your objectives and your family’s needs—without any pressuring sales job. [read post]
10 Sep 2014, 10:42 am
National Security Advisor Susan Rice wrapped up a three-day visit to China. [read post]
7 Sep 2014, 11:00 am
“In the wake of the financial crisis, it was very difficult to find funding for new commercial real estate projects. [read post]
5 Sep 2014, 8:37 am
Practice Areas INVESTORS FINANCIAL ADVISORS BROKERAGE FIRMS GENERAL LITIGATION The post West Palm Beach Investment Fraud Attorneys – Jacobson Law, P.A. appeared first on PaperStreet [read post]
4 Sep 2014, 9:58 pm
We’re proud to be fueling the return to that vision with the leading and most innovative financial services and insurance firms in the world. [read post]
4 Sep 2014, 3:19 am
“any institution engaged in the business of providing financial services to customers who maintain a credit, deposit, trust, or other financial account or relationship with the institution. [read post]
