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23 Oct 2012, 9:17 am
Ask your financial advisor what the prognosis is for your investments if there is another recession. [read post]
20 Oct 2012, 6:37 am
The Trustee's Complaint alleges in general that: Defendant, after entering into the largest, and disastrous, expansion in Swoozie’s history; in the depths of the Great Recession; without the advice of outside accountants or financial advisors; and having recently lost the Company’s Chief Financial Officer(“CFO”)and Chief Operating Officer(“COO”), elsewhere described as “literally the only person at the company who had clear… [read post]
19 Oct 2012, 3:16 pm
” (Risk Discovery Services is a joint venture of corporate consulting firm Entrepreneurial Resources Group and information technology firm Granite Bridge Advisors.) [read post]
16 Oct 2012, 6:05 pm
When the scheme was uncovered in 2010 by the Securities and Exchange Commission, only $900,000 remained in financial accounts controlled by USARMS. [read post]
12 Oct 2012, 2:08 pm
He is a frequent continuing education speaker to insurance agents, financial advisors, CPA’s and financial industry organizations. [read post]
9 Oct 2012, 3:53 pm
Also, a customer of Infinity was acting as a commodity trading advisor and trading client accounts even without a power of attorney or the necessary registration. [read post]
3 Oct 2012, 8:59 am
He is a former President of the Society of Financial Service Professionals-Detroit Chapter. [read post]
1 Oct 2012, 3:00 am
Event: Know Yourself and Your Decision-Making Process: A Conversation with Nobel Laureate Daniel Kahneman Location: New York, NY October 16 Sponsor: Investment Adviser Association Event: 2012 Compliance Workshop Location: Boston, MA October 16 Sponsor: NC Department of Secretary of State Event: Investment Adviser Workshop Location: Charlotte, NC October 17 Sponsor: Hedge Funds Care & ParkRiver Fund Solutions Event: Cocktails & Commentary – Navigating Institutional Investor Due… [read post]
25 Sep 2012, 9:06 am
According to FINRA, in 2011, members of the public used this service to conduct 14.2 million reviews of broker or firm records. [read post]
21 Sep 2012, 4:32 pm
However, per the House Financial Services Committee, which unanimously approved the bill earlier this month, if such entities were to only take part in certain activities, they would still not be included in the definition. [read post]
12 Sep 2012, 3:57 pm
The full House Financial Services Committee has approved bi-partisan legislation clarifying that Section 975 of the Dodd-Frank Act requiring municipal advisors to register with the SEC does not include dealers, banks, investment advisers and members of municipal governing bodies, and others who were either already regulated before the enactment of Dodd-Frank or are appointed, volunteer public servants. [read post]
12 Sep 2012, 11:36 am
On occasion, you might see an issuing entity that holds itself out as providing financial advice and/or investment services, but those firms are not necessarily financial institutions. [read post]
10 Sep 2012, 8:45 am
For non-press inquiries about the NPRM, please contact Michelle Picard, USPTO Senior Advisor for Financial Management, at (571) 272-9200. [read post]
10 Sep 2012, 7:28 am
And, as an added bonus for me, this is by one of my close friends, confidants and advisors, Bryant Culpepper. [read post]
10 Sep 2012, 5:27 am
According to authorities, Lane was a long-time financial advisor at Bank of America Investment Services, which later merged with Merrill Lynch. [read post]
10 Sep 2012, 1:17 am
He received one-year probation and 100 hours of community service as a sentence. [read post]
8 Sep 2012, 7:44 am
The House Financial Services Committee is slated on Sept. 12 to markup and approve approve bi-partisan legislation clarifying that Section 975 of the Dodd-Frank Act requiring municipal advisors to register with the SEC does not include dealers, banks, investment advisers and members of municipal governing bodies, and others who were either already regulated before the enactment of Dodd-Frank or are appointed, volunteer public servants.. [read post]
6 Sep 2012, 9:21 am
Ron Rhoades, chairman-elect of the National Association of Personal Financial Advisors, was recently quoted as saying that FINRA “is a colossal failure, by any measure. [read post]
6 Sep 2012, 1:53 am
But with the dramatic announcements in late June of the imposition of fines and penalties of over $450 million against Barclays PLC, the scandal has shifted into a higher gear and has become one of the leading stories in financial papers around the world. [read post]
5 Sep 2012, 11:31 am
The firm represents investors in FINRA arbitration claims against their financial advisor or broker-dealer. [read post]
