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19 Feb 2013, 10:50 am
Stamer’s services, experience, presentations, publications, and other credentials or to inquire about arranging counseling, training or presentations or other services by Ms. [read post]
11 Feb 2013, 7:00 am
Second, being a good financial advisor requires you to have solid interpersonal relationships with your clients. [read post]
9 Feb 2013, 4:13 pm
To my colleagues, I say please consult a qualified financial services advisor or broker/dealer to examine the securities offering and business plan for your investors. [read post]
7 Feb 2013, 5:20 am
Sources: Administrative Order against Claymore Advisors, LLC (.pdf) Administrative Order against Fiduciary Asset Management, LLC (.pdf) SEC Settles Administrative Proceedings Against Registered Closed-End Fund Adviser and Subadviser Over Inadequate Disclosure of Fund Derivatives Activities in Goodwin Procter’s Financial Services Alert [read post]
7 Feb 2013, 5:20 am
Sources: Administrative Order against Claymore Advisors, LLC (.pdf) Administrative Order against Fiduciary Asset Management, LLC (.pdf) SEC Settles Administrative Proceedings Against Registered Closed-End Fund Adviser and Subadviser Over Inadequate Disclosure of Fund Derivatives Activities in Goodwin Procter’s Financial Services Alert [read post]
6 Feb 2013, 7:00 am
So ask your friends, family members or financial advisors for recommendations. [read post]
6 Feb 2013, 6:24 am
Executors routinely utilize the services of CPAs, financial advisors, realtors and the like to assist with the administration of the estate. [read post]
6 Feb 2013, 4:33 am
She was awarded the DBE for services to the administration of justice in the Queen’s birthday honours in 2011. [read post]
5 Feb 2013, 7:30 am
While at SUNY, he won a New York State War Service Scholarship. [read post]
28 Jan 2013, 2:38 pm
Implementation of the Dodd-Frank financial reforms means Governance professionals will also benefit. [read post]
28 Jan 2013, 1:13 pm
Her insights on HIPAA risk management and compliance often appear in medical privacy related publications of a broad range of health care, health plan and other industry publications Among others, she has conducted privacy training for the Association of State & Territorial Health Plans (ASTHO), the Los Angeles Health Department, SHRM, HIMMS, the American Bar Association, the Health Care Compliance Association, a multitude of health plan, insurance and financial… [read post]
28 Jan 2013, 10:31 am
Her insights on HIPAA risk management and compliance often appear in medical privacy related publications of a broad range of health care, health plan and other industry publications Among others, she has conducted privacy training for the Association of State & Territorial Health Plans (ASTHO), the Los Angeles Health Department, SHRM, HIMMS, the American Bar Association, the Health Care Compliance Association, a multitude of health plan, insurance and financial… [read post]
28 Jan 2013, 6:15 am
Last May, Finra ordered broker-dealers of four major banks, Wells Fargo & Co., Citigroup Global Markets Inc., Morgan Stanley and UBS Financial Services Inc., to pay $9.1 million in fines and restitution for selling such funds “without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
28 Jan 2013, 6:13 am
At the same time, one of the duties Dodd-Frank assigned the Bureau’s Office of Older Americans is to monitor certifications or designations of financial advisors who serve seniors and alert the SEC and state regulators of certifications or designations that are identified as unfair, deceptive or abusive. [read post]
27 Jan 2013, 8:45 am
Her insights on HIPAA risk management and compliance often appear in medical privacy related publications of a broad range of health care, health plan and other industry publications Among others, she has conducted privacy training for the Association of State & Territorial Health Plans (ASTHO), the Los Angeles Health Department, SHRM, HIMMS, the American Bar Association, the Health Care Compliance Association, a multitude of health plan, insurance and financial… [read post]
25 Jan 2013, 8:50 am
According to the announcement of the delay, the Department delayed the impending March 1, 2013 deadline to give the (Exchange Notice) to better coordinate with related Health and Human Service and Internal Revenue Service efforts and to allow more time to comply and to distribute the Exchange Notices to employees at a meaningful time. [read post]
25 Jan 2013, 8:20 am
Our guest blog this week is by Sandra Ramos, a well known financial advisor in Barrie, Ontario. [read post]
21 Jan 2013, 12:13 pm
If anger is too high, the services of a professional marriage counselor can help. [read post]
17 Jan 2013, 4:12 pm
Health plans, their employer or other sponsors, insurers, fiduciaries, administrative service providers and other business associates have a lot of work to do. [read post]
16 Jan 2013, 3:00 pm
Other people in position to take advantage of the elderly are investment advisors or financial planners who cause an elderly person to make poor investment decisions or estate planning decisions. [read post]
