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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]
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]
1 Apr 2014, 5:42 am
Mallett is also associated or is involved in Biltmore Wealth Advisors, LLC, Capital Financial Management, Ltd, South Race Street, LLC, Red Rock, LLC, Mango Lizard LLC, and EZ Plan LLC. [read post]
30 Mar 2014, 6:04 pm
The financial consequences of worker misclassification can be costly. [read post]
30 Mar 2014, 5:04 pm
The financial consequences of worker misclassification can be costly. [read post]
30 Mar 2014, 6:00 am
Both the Rural/Metro board of directors and a second financial advisor to Rural/Metro settled before trial for $6.6 million and $5.0 million, respectively. [read post]
27 Mar 2014, 6:08 am
To the extent that the investment was recommended to you by your financial advisor, the securities attorneys of The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment. [read post]
25 Mar 2014, 8:18 am
It's a service based on transmitters that employ Bluetooth technology to track where Apple users are in stores and restaurants. [read post]
25 Mar 2014, 6:20 am
On March 7, the Delaware Court of Chancery published a post-trial opinion in In Re Rural Metro Corporation Stockholders Litigation (Rural Metro) finding Rural/Metro’s financial advisor RBC liable for aiding and abetting the Rural/Metro’s board of directors’ breach of its fiduciary duties in connection with the acquisition of Rural/Metro by Warburg Pincus. [read post]
21 Mar 2014, 12:30 pm
An employment agreement non-competition provision stated that, for 18 months after termination, the employee shall not become employed by or act “directly or indirectly, as an advisor, consultant, or salesperson for, or become financially interested, directly or indirectly, [in an entity] engaged in the business of selling flavor materials. [read post]
20 Mar 2014, 9:54 am
Cox Ameriprise Financial Services, Inc. and Mitchell William Black Claimant, Robert L. [read post]
19 Mar 2014, 3:12 pm
According to Financial Advisors Magazine, the New York Department of Financial Services fined AXA SA’s U.S. unit $25 million for changing the investment strategies of previously sold variable annuities products without giving adequate notice to regulators. [read post]
18 Mar 2014, 1:37 pm
Stamer has more than 25 years’ experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
18 Mar 2014, 7:57 am
Financial advisors have a fiduciary duty to put their client’s needs ahead of their own. [read post]
17 Mar 2014, 7:50 am
In Baumann, the employee brought PAGA claims in Los Angeles Superior Court alleging that Chase failed to pay overtime, provide meal breaks, allow rest periods, and reimburse expenses on time for its financial advisors. [read post]
17 Mar 2014, 6:32 am
The book addresses three key areas in creating successful start-up and growth companies: Business and Financial Concerns; Legal Issues; and Practical Support. [read post]
16 Mar 2014, 2:48 pm
The House Financial Services Committee marked up and approved legislation clarifying that nothing in the Volcker Rule should be construed to require the divestiture, prior to July 21, 2017, of any debt securities of collateralized loan obligations, if such debt securities were issued before January 31, 2014. [read post]
15 Mar 2014, 1:29 pm
Towers (Towers) of VSR Financial Services, Inc. [read post]
14 Mar 2014, 8:28 am
A Chase financial advisor sued the employer under the PAGA alleging that the financial services company failed to pay him (and other “aggrieved parties”) overtime, provide meal breaks, allow rest periods, or timely reimburse their expenses. [read post]
13 Mar 2014, 4:00 am
The Commodity Futures Trading Commission (CFTC) has issued guidance for CFTC-regulated financial institutions on compliance with the security safeguards provisions of Title V of the Gramm-Leach-Bliley Act (GLBA). [read post]
