Search for: "Financial Advisors Services"
Results 5901 - 5920
of 7,346
Sort by Relevance
|
Sort by Date
20 May 2012, 7:11 am
House Committee on Financial Services, which is available (including footnotes) here. [read post]
18 May 2012, 7:43 am
The Federal Bureau of Investigation (FBI) on May 17, 2012 released the following: “Former Head of the National Association of Personal Finance Advisors Diverted Client Funds to His Own Risky Start-Up Ventures A long-time Seattle financial advisor was indicted today by a federal grand jury with 23 criminal counts, including wire fraud, money laundering and investment advisor fraud, announced U.S. [read post]
18 May 2012, 5:05 am
Expenditures for their services are the second largest item in CIRM's operational budget, exceeded only by salaries and benefits of regular employees. [read post]
18 May 2012, 2:00 am
Advisors include Tom Daschle, former U.S. [read post]
17 May 2012, 3:18 pm
Only then are they the legal advisor. [read post]
17 May 2012, 8:14 am
According to Reuters, ResCap and its advisors believe that this is the first time a financial services company with retail operations not unlike a bank has filed for bankruptcy and has been able to continue operating. [read post]
17 May 2012, 7:21 am
” There’s more, about engaging multiple outside law firms “and other advisors,” conducting a “voluntary global review” of its compliance practice (really? [read post]
16 May 2012, 7:37 am
bit.ly/JbEROt (Philip Favro) Updated: 10 Years of eDiscovery Mergers, Acquisitions and Investments - bit.ly/y9FMKO (@ComplexD) Reports and Resources Google: First Amendment Protection For Search Engine Results (PDF) bit.ly/IMF8Gm (Eugene Volokh, Donald Falk) Introduction to Statistical Sampling in Electronic Discovery - bit.ly/KFv17p (Apersee) LinkedIn Financial Advisor Survey: Trends and Opportunities - bit.ly/IFLaVq (Tim… [read post]
12 May 2012, 4:25 am
., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for recommending these ETFs. [read post]
12 May 2012, 4:25 am
., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for recommending these ETFs. [read post]
10 May 2012, 9:48 am
The 3(38) advisor acts independently, and is not typically subject to conflicts of interest that might exist with advisors who represent the financial service providers to the plan. [read post]
10 May 2012, 6:57 am
And if we look at our clients as keyword strings and targets and prospects and not real people with real problems, we miss a chance to become the trusted advisors that we lawyers have been in the past. [read post]
8 May 2012, 2:30 pm
APS Financial Corporation Aura Financial Services, Inc. [read post]
8 May 2012, 2:00 am
According to the FSI, a recent poll of 2,000 financial advisors revealed that 75 percent favored the creation of an SRO to [read post]
7 May 2012, 2:07 pm
., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC. more than $9.1 million in total for selling leveraged and inverse exchange-traded funds or ETFs. [read post]
5 May 2012, 10:37 am
Their only “crime,” according to Treasury Secretary Tim Geithner and countless others, is that they charge for their services. [read post]
4 May 2012, 6:37 pm
Stephen Bilkis & Associates offers legal services throughout the metropolitan area of Manhattan. [read post]
4 May 2012, 5:57 pm
Woodbury Financial Services, Inc. [read post]
4 May 2012, 7:00 am
Kann (filed April 16, 2012) 2012 DJDAR 4768), defendant Kann filed a petition to compel arbitration after a corporation's short term creditors brought suit against defendant, a financial advisor the corporation had retained to assist it in getting long-term financing to pay its short-term debts. [read post]
4 May 2012, 6:44 am
Earlier this week, leveraged and inverse ETFs took center stage when the Financial Industry Regulatory Authority (FINRA) levied $9.1 million in penalties on four major banks – Citigroup Global Markets, Morgan Stanley & Co., UBS Financial Services and Wells Fargo Advisors – for their role in selling the risky investments to retail clients who, because of their conservative risk profiles, should never have purchased them. [read post]
