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10 Dec 2013, 8:27 am
As an added service to employees, many human resources departments also may want to consider alerting employees to consult their tax advisor or take other steps to properly understand and retain documentation of mileage not only for business expense reimbursement, but also medical and moving purposes. [read post]
9 Dec 2013, 8:29 am
We represent investors, financial professionals and investment firms, nationwide. [read post]
2 Dec 2013, 5:24 pm
However, the real onus should be on financial attorneys to seek out these high-profile clients as part of providing assistance to the individuals who are in dire need of financial services. [read post]
2 Dec 2013, 4:43 am
Now that the year is drawing to an end and we reflect back on our successes and, dare I say, failures over the last year, financial advisors and brokers should take the time now to review their respective client portfolios. [read post]
2 Dec 2013, 3:30 am
” In a floor speech, Rooney explained how his bill will address a common scam called “pension poaching,” in which: • Unethical financial advisors and firms prey on elderly and disabled veterans by promising to help them qualify for VA pension benefits if they divert their assets into trusts or annuities. [read post]
1 Dec 2013, 2:00 am
HF Roundtable Event: Effects of QE Location: New York, NY December 6 Sponsor: FMW Event: Investment Advisor Compliance-Tier 2, Advanced Location: New York, NY December 8-10 Sponsor: Opal Event: Alternative Investing Summit Location: Laguna Niguel, CA December 8-10 Sponsor: IMN Event: Global Indexing & ETF’s Location: Scottsdale, AZ December 8-10 Sponsor: Opal Event: CLO Summit Location: Dana Point, CA December 8-10 Sponsor: Marcus Evans Event: Private Wealth Management Summit… [read post]
25 Nov 2013, 6:19 am
Wells Fargo is a FINRA member and a full service broker-dealer with its principal offices located in St. [read post]
22 Nov 2013, 12:41 pm
Scott Herckis (“Herckis”) had brought to the attention of the SEC certain fraudulent activities at the Heppelwhite Fund LP, where he acted as fund administrator through his financial and accounting services firm, SJH Financial, LLC. [read post]
22 Nov 2013, 7:25 am
The House Financial Services Committee has marked up and reported out three pieces of legislation that would ease the regulation of business development companies, create a tick size pilot program for emerging growth companies, and reform the regulation of M&A brokers. [read post]
19 Nov 2013, 7:54 am
Shah engaged in that same behavior, would amount to market abuse (insider dealing) as per section 118(2) of the Financial Services and Markets Act (FSMA). [read post]
19 Nov 2013, 3:45 am
The Party Committee of the working committee of bodies under the Central Government, the working committee of the national bodies of the Central Government, Central Financial Organizations[1] and Xinjiang Production and Construction Crops can establish Party school. [read post]
18 Nov 2013, 3:07 pm
Professional Janitorial Service, Inc. [read post]
18 Nov 2013, 3:44 am
” In 2007, one of the plaintiff principals, named Hickey, on behalf of the Aegis Texas Fund executed a letter agreement with Bayhead Securities, wholly owned by the defendant principal Roberts, engaging Bayhead as financial advisor and placement agent responsible for finding initial investors, for which Bayhead was to receive $400,000 for a sale of notes in excess of $20 million. [read post]
13 Nov 2013, 4:00 am
You want to make smart business decisions and invest your time and financial resources wisely. [read post]
6 Nov 2013, 4:30 am
Wonder how it will differ from the House Financial Services Subcommittee hearing on the topic from a few months back... [read post]
5 Nov 2013, 6:34 am
The CKx board retained an independent financial advisor and conducted an expedited process to explore a sale of the Company. [read post]
30 Oct 2013, 2:17 pm
Flower, CFP® Registered Representative and Advisory services offered through Securities America Advisors, Inc., Michael A. [read post]
30 Oct 2013, 8:00 am
She raised objections to the financial reporting practices of FMR, LLC, a Fidelity mutual fund advisor. [read post]
30 Oct 2013, 5:58 am
The UBS Puerto Rico family of funds consists of 14 closed-end funds sold exclusively through financial advisors and brokers with UBS Financial Services Inc. of Puerto Rico. [read post]
House Panel Holds Hearings on Bills to Reduce Impediments to Capital Formation; Possible JOBS Act II
29 Oct 2013, 7:15 am
Mick Mulvaney (R-SC), H.R. 1973, the Business Development Company Modernization Act would amend Section 2(a)(46)(B) and Section 60 of the Investment Company Act to allow BDCs to purchase, acquire, or hold securities or other interests in the business of registered investment advisers, advisors to investment companies, and other “eligible portfolio companies” as defined in the Investment Company Act, including certain financial services companies. [read post]
