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4 May 2014, 7:31 pm
We’re glad the President’s commission recommended that the Justice Department, the Federal Trade Commission, the Consumer Financial Protection Bureau, and the Equal Employment Opportunity Commission take proactive steps to make sure this sort of big data discrimination doesn’t become common. [read post]
1 May 2014, 11:17 am
As the managing director for independent advisor services, he was responsible for overseeing almost 14,000 representatives and financial advisors. [read post]
1 May 2014, 6:40 am
There are legitimate defenses to promissory note claims and financial advisors should research their rights before simply agreeing to settle such claims. [read post]
27 Apr 2014, 6:03 pm
Processing times, Rulemaking Process and Adjudication Procedures Many callers expressed process concerns: Allow the use of the Premium Processing Service to speed all adjudications and create sufficient funds to [read post]
27 Apr 2014, 6:03 pm
Processing times, Rulemaking Process and Adjudication Procedures Many callers expressed process concerns: Allow the use of the Premium Processing Service to speed all adjudications and create sufficient funds to [read post]
27 Apr 2014, 2:03 pm
Processing times, Rulemaking Process and Adjudication Procedures Many callers expressed process concerns: Allow the use of the Premium Processing Service to speed [read post]
26 Apr 2014, 11:00 am
As background, in In re Marriage of Finby, the Wife worked as a financial advisor and developed a list of clients (who owned over $192 million in investments) during marriage that she referred to as her "book of business". [read post]
25 Apr 2014, 6:30 am
Investors often rely on professional advisors like LPL Financial, which help them to diversify their portfolio while minimizing risk. [read post]
24 Apr 2014, 4:00 am
The CFPB’s closed-door meeting policy for the ARC and its three other advisory groups has been the subject of criticism by industry as well as by members of the House Financial Services Committee. [read post]
23 Apr 2014, 6:36 am
Variable annuities are also high sales commission products for financial advisors and sometimes advisors push these products on persons who do not need them or cannot benefit from them. [read post]
21 Apr 2014, 5:32 pm
A Look at the JOBS Act at Its Second Anniversary In Light of the Increased IPO Volume – San Francisco lawyer Gerd Thomsen of Morrison Foerster on the firm’s MoFo Jumpstarter Drone Even Go There: On Newsgathering, Drones and the FAA – Arlington attorney Kevin Goldberg of Fletcher, Heald & Hildreth on the firm’s CommLawBlog Much Ado About Nothing as EPA Defers Stormwater Rule – Boston lawyer Peg Stolfa of Bernkopf Goodman LLP on her blog, MassLaw Environmental… [read post]
16 Apr 2014, 11:20 pm
Like financial services, the legal profession places a premium on privacy. [read post]
14 Apr 2014, 6:41 am
There will also be champagne on hand for anyone who wants to toast their refund or chocolate for those who need to forget their financial sorrows/losses. [read post]
14 Apr 2014, 4:04 am
But what about the financial services industry. [read post]
11 Apr 2014, 3:11 pm
For instance, we recently commented regarding FINRA's announcement on February 24, 2014 of a $775,000 fine for Berthel Fisher & Company Financial Services, Inc. and its subsidiary for failure to supervise brokers on recommendations and sales of alternative investments such as non-traded real estate investment trusts (REITs) and leveraged and inverse exchange-traded funds (ETFs). [read post]
11 Apr 2014, 6:00 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Marylin T. [read post]
9 Apr 2014, 6:44 am
Financial Services and its affiliate, Securities Management & Research, Inc., a combined $775,000. [read post]
7 Apr 2014, 8:18 am
Turkey aims to become a significant and prominent financial center, based on its young and dynamic population, highly qualified labor force, favorable geopolitical position, developed markets, diversity of financial products, services and practices, and strong regulatory framework in the financial sector. [read post]
2 Apr 2014, 3:35 am
Ryan: There is a long paragraph lifted from a House Financial Services report about "in the run-up to the financial crisis and its aftermath, the SEC repeatedly failed to fulfill any part of its mission." [read post]
2 Apr 2014, 1:04 am
The law firm to in-house move involves one of going from “service provider to trusted advisor. [read post]
