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23 Nov 2012, 2:37 pm
Stamer is recognized, internationally, nationally and locally for her more than 24 years of work, advocacy, education and publications on cutting edge health and managed care, employee benefit, human resources and related workforce, insurance and financial services, and health care matters. [read post]
23 Nov 2012, 9:42 am
Stamer is recognized, internationally, nationally and locally for her more than 24 years of work, advocacy, education and publications on cutting edge health and managed care, employee benefit, human resources and related workforce, insurance and financial services, and health care matters. [read post]
21 Nov 2012, 4:30 am
Background and Analysis of the Case: In this case, AllianceBernstein sued one of its former financial advisors, William Atha, claiming that he had breached his employment agreement by, among other things, allegedly stealing his former employer's confidential client contact data so that he could solicit those clients at his new firm. [read post]
20 Nov 2012, 12:54 pm
Stamer is recognized, internationally, nationally and locally for her more than 24 years of work, advocacy, education and publications on cutting edge health and managed care, employee benefit, human resources and related workforce, insurance and financial services, and health care matters. [read post]
20 Nov 2012, 10:27 am
The United States District Court for the Central District of California dismissed a class action claim brought by a financial advisor employed by a major financial services company. [read post]
15 Nov 2012, 12:32 am
Attorneys resistant to the need for this type of insurance (or advisors who have to try to persuade them of the need) will want to take a look at the November 14, 2012 Wall Street Journal article entitled “Creditors Seek to Sue Dewey’s Ex-Leader” (here). [read post]
14 Nov 2012, 12:16 pm
It’s a nice organization composed of private fiduciaries, home healthcare service professionals, financial advisors, attorneys, accountants, appraisers — people that help other people in fiduciary or semi-fiduciary capacities. [read post]
14 Nov 2012, 8:58 am
In addition to enhanced access to care, there are important financial considerations that make urgent care a compelling investment opportunity. [read post]
14 Nov 2012, 8:58 am
In addition to enhanced access to care, there are important financial considerations that make urgent care a compelling investment opportunity. [read post]
13 Nov 2012, 2:41 pm
House of Representatives Committee on Financial Services on May 17, 2012 and outlined many of the SEC’s theories and strategies. [read post]
13 Nov 2012, 2:41 pm
House of Representatives Committee on Financial Services on May 17, 2012 and outlined many of the SEC’s theories and strategies. [read post]
13 Nov 2012, 11:54 am
McWood, 280 F.3d 1078 (6th Cir.andnbsp; 2002); UBS Financial Services Inc. v. [read post]
12 Nov 2012, 9:03 am
Underberg - Harvard Law School Forum on Corporate Governance and Financial Regulation). [read post]
9 Nov 2012, 7:42 pm
FINRA arbitration lawyer William Shepherd, however, disagrees: “It is true that financial advisors are held to a fiduciary standard by statute, but securities brokers are often held to a ‘common law’ fiduciary standard. [read post]
2 Nov 2012, 11:52 am
In 1999, after a decade of increasing financial industry deregulation as the result of bank lobbying efforts, this “wall” was torn down by the Financial Services Modernization Act, or as it is frequently called the Gramm-Leach-Bliley Act. [read post]
2 Nov 2012, 7:24 am
Our work with advisers sets us apart from our competition as we have gained insight and knowledge of the financial services industry and the respect of lawyers nationwide on "both sides of the aisle. [read post]
2 Nov 2012, 6:44 am
However, some transparency commitments are more politically difficult than others, he says, and it's the difficult ones that, so far, are still not appearing in the government's agenda for the OGP.Whistleblowing cases soar by 276 per cent since beginning of financial crisis - Lawyer Monthly 30.10.12Whistleblowing cases reported to the Financial Services Authority have increased by 276 per cent in four years, according to information obtained under the Freedom of… [read post]
30 Oct 2012, 1:23 am
On 29 October 2012, the FSA fined Martin Rigney, a partner and the only advisor at Topps Rogers, £117,330 and banned him from performing any function in relation to any regulated activity in the financial services industry. [read post]
28 Oct 2012, 8:33 pm
According to a new study produced by Schwab Advisor Services, "year-to-date assets under management (AUM) for M&A deal activity reached $42.3 billion at the end of the third quarter, which nearly eclipses last year's AUM total of $43.9 billion. [read post]
26 Oct 2012, 11:28 am
" The gist of his column is that financial advisors need to be ready to shift gears and go to a new firm in case something happens at their present firm. [read post]
