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22 Mar 2012, 8:25 am
According to the reports, Rivera is a former financial advisor of Morgan Stanley Smith Barney who worked at the firm’s Paramus office from October 2008 to October 2010, providing private wealth management services to clients and managing their investment accounts. [read post]
21 Mar 2012, 6:44 pm
I would advise you to ask your local bank or financial advisor what their fees would be for this service, or if they can recommend anyone in your area who could serve. [read post]
21 Mar 2012, 11:31 am
For example, financial advisors registered through a FINRA registered broker-dealer are regulated by FINRA and any disputes arising from a financial advisors servicing of an investor’s account is generally arbitrated through FINRA dispute resolution, whereas RIAs are not currently regulated by FINRA and usually have their own dispute resolution clause – generally requiring claims to be filed through AAA (American Arbitration… [read post]
20 Mar 2012, 3:42 pm
For example, when you retain the services of a broker or sign a contract with your financial advisor, that contract likely contains a FINRA arbitration clause. [read post]
20 Mar 2012, 3:35 pm
For example, when you retain the services of a broker or sign a contract with your financial advisor, that contract likely contains a FINRA arbitration clause. [read post]
20 Mar 2012, 3:35 pm
For example, when you retain the services of a broker or sign a contract with your financial advisor, that contract likely contains a FINRA arbitration clause. [read post]
20 Mar 2012, 7:33 am
The Micromet court, citing precedent, noted that “Delaware courts have repeatedly held that a board need not disclose specific details of the analysis underlying a financial advisor’s opinion” in satisfying the fiduciary duty of disclosure. [read post]
19 Mar 2012, 7:34 pm
Before he enlisted in the Army, he worked as a financial advisor. [read post]
19 Mar 2012, 7:30 am
Unarmed “resident advisors” patrol the facility in civilian clothes instead of armed guards. [read post]
19 Mar 2012, 4:56 am
The two financial advisors, who are registered representatives at Ameriprise Financial Services, illegally traded in the stock of Philadelphia Consolidated Holding Corp. [read post]
16 Mar 2012, 6:59 am
Humphrey also mentioned the following current CFPB initiatives to protect the elderly: providing guidance to caregivers who handle financial matters for seniors, assisting seniors in the choice of financial advisors, and studying reverse mortgage shopping patterns. [read post]
15 Mar 2012, 8:02 pm
His recent appointment to the Board of Trustees at his alma mater, Union College, capped a lifetime of study, financial support and service to the institution that provided him invaluable guidance and purpose.After graduating from Union, John earned his law degree from Albany Law School in 1986 and was a founding partner in the law firm of Segar & Sciortino. [read post]
15 Mar 2012, 9:31 am
Viterra has engaged financial and legal advisors to provide support with this process. [read post]
15 Mar 2012, 9:31 am
Viterra has engaged financial and legal advisors to provide support with this process. [read post]
15 Mar 2012, 6:23 am
The Court focuses on various alleged conflicts of interest involving El Paso's CEO and its financial advisor, which persuaded the Court that the plaintiffs have a reasonable probability of success on a claim that the merger was tainted by breaches of fiduciary duty. [read post]
14 Mar 2012, 3:22 pm
Senate Committee as Counsel in 2001, serving as Chief Counsel and Republican Deputy Chief of Staff, Parliamentarian, senior advisor to the Chair, and counsel to the Financial Institutions Subcommittee during his tenure of more than a decade. [read post]
14 Mar 2012, 1:28 pm
Fortunately for us, there’s already a BigLaw(-ish) connection: The Special Committee is being assisted in its consideration of Longkloof’s proposal by its legal advisor, Blank Rome LLP, and is currently in the process of selecting a financial advisor. [read post]
14 Mar 2012, 11:53 am
Location: New York, NY March 29, 2012 Sponsor: Financial Times Event: Hedge Fund Insights 2012 Location: New York, NY March 29, 2012 Sponsor: Financial Times Event: Investing in a Sustainable Future Location: New York, NY March 29 Sponsor: Managed Funds Association Event: Gaining Clarity on Pension and Endowment Allocations to Hedge Funds Location: New York, NY **** Cole-Frieman & Mallon LLP provides legal services for hedge fund managers and other groups within… [read post]
14 Mar 2012, 7:24 am
The intent of Dodd-Frank appears to be to impose similar standards on broker-dealers as currently exist for investment advisors. [read post]
13 Mar 2012, 9:06 am
"We don't have the financial resources to fight it - I can't fight Hollywood. [read post]
