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4 Mar 2014, 5:50 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]
4 Mar 2014, 11:52 am
The question before the Court in this case was whether the statute shielded "only those employed by the public company itself" or employees of privately held contractors and subcontractors-such as investment advisors, law firms, or accounting enterprises-performing work for the public company.This particular case involved contract employees who were performing services for mutual funds, which the Court noted typically have no actual employees. [read post]
4 Mar 2014, 9:51 am
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]
4 Mar 2014, 9:05 am
<> Drought and Global Climate Change: An Analysis of Statements by Roger Pielke Jr - The President's Science Advisor, Dr. [read post]
3 Mar 2014, 8:08 am
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]
28 Feb 2014, 5:30 am
Here, plaintiffs alleged that all the class members suffered financial loss after exposure to deceptive ads. [read post]
27 Feb 2014, 8:27 am
To do otherwise is to consign this effort, like so many others, to the late 19th century--a charming enough epoch, and one that was at least brimming with the elegant possibilities of the full ripening of the state system, but one which might prove less comprehensively useful in the world as we find it today:Independent Expert on the promotion of a democratic and equitable international orderOverviewAccording to the resolution 18/6, a democratic and equitable international order requires the… [read post]
27 Feb 2014, 4:00 am
She counsels national mortgage servicers and financial institutions on compliance issues and legal risks under state and federal financial services laws and regulations. [read post]
26 Feb 2014, 5:34 pm
According to an InvestmentNews article, an adviser with Ameriprise Financial Services Inc. was quoted as stating “I never thought it made sense to show $10 per share from beginning, because it gave the impression that the valuation was always the same. [read post]
25 Feb 2014, 10:02 am
” Chair White also discussed the Financial Reporting and Audit Task Force, which was formed last year “to look at trends or patterns of conduct that are risk indicators for financial fraud, including in areas like revenue recognition, asset valuations, and management estimates. [read post]
24 Feb 2014, 8:25 pm
Court of Appeal for the Ninth Circuit ruled that a wage and hour class action, brought on behalf of financial advisors against Chase Investment Services Corp., would not be compelled to arbitration because the parties’ agreement calls for arbitration under Financial Industry Regulatory Authority (“FINRA”) rules, [...] [read post]
23 Feb 2014, 7:00 am
Unified Financial Services, LLC. [read post]
21 Feb 2014, 5:42 pm
Right in that same vein, we have the first of two Norton Rose Fulbright launches in the form of Financial services: Regulation tomorrow. [read post]
19 Feb 2014, 9:57 am
Each year, the Internal Revenue Service issues a list of “Dirty Dozen” tax scams that can affect taxpayers. [read post]
17 Feb 2014, 9:55 am
The Firm’s M&A and commercial law practice provides its services to leading companies, investors and financial advisors present in the Hungarian market. [read post]
14 Feb 2014, 8:58 am
As one former advisor to the PA confides, “the Hamas authorities collect their bills from customers in Gaza, but never send the funds back to the West Bank. [read post]
14 Feb 2014, 8:21 am
Patricia Struck, Chair-Person of the Investment Advisor Section for the North American Securities Administrators Association (NASAA) and the Administrator of the Division of Securities of the Wisconsin Department of Financial Institutions. [read post]
14 Feb 2014, 5:48 am
Because the certification can be made by an existing trusted advisor, the advisor may already be in possession of the information on which the certification is made, thereby reducing the burden on the investor. [read post]
13 Feb 2014, 3:57 pm
I also devote a fair amount of my practice to FINRA arbitration, which involves defending financial advisors and broker-dealers from claims by investors. [read post]
11 Feb 2014, 1:50 pm
If a financial advisor abuses the accounts of clients and conducts transactions that violate internal policies and state securities regulations, their firm may be liable for investment losses. [read post]
