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5 Oct 2011, 10:33 am
The advisor misused investor money by writing checks to pay for personal services and luxury items such as a Lexus, Mercedes, and Rolex watch.SEC Charges Long Island-Based Hedge Fund Manager with Fraud Involving PIPE Transactions [read post]
5 Oct 2011, 6:28 am
Van Gorkom, Chancellor Strine emphasized the importance of financial advisors in deals and that "conflicts of interest" in the deal process are "taken seriously. [read post]
5 Oct 2011, 3:11 am
Wins Silver for Data/Security Recovery Services in Houston, TX - http://bit.ly/pGhMv5 (PR.com) BIA Introduces TotalDiscovery.com Legal Hold - Offers Introductory $1.00 Per Custodian Pricing - http://bit.ly/r1XpGJ (Press Release) Certified Records Manager Laurie Fischer Joins Huron Legal - http://bit.ly/omeVIp (Michael Roach) Compare & Contrast: Practice Management - http://bit.ly/pEcWCs (Sean Doherty) Deploy Review Attorney SWAT Team, Using Separate Skills to Reach a Common Goal… [read post]
3 Oct 2011, 5:03 pm
Serricchio commissions as a financial advisor. [read post]
3 Oct 2011, 11:54 am
Contact at services@reedgroup.com. [read post]
3 Oct 2011, 4:58 am
Excelsior Wealth Management and Woodbury Financial Services, Inc. are unaffiliated entities. [read post]
30 Sep 2011, 3:07 pm
Concert Wealth Management doesn’t want to be just like HighTower Advisors or Focus Financial Partners. [read post]
27 Sep 2011, 2:24 pm
Then at last, (likening himself to Daniel entering the lions' den) Kevin Mooney pointed out a few of the fundamental flaws in the proposed arrangements, notably that no-one had explained how the Court was supposed to be funded, following withdrawal of the Commission's financial support (so central to the 2009 draft) consequent upon the ECJ's March 2011 opinion. [read post]
26 Sep 2011, 5:22 pm
On September 13, the House of Representatives Financial Services Committee’s capital markets subcommittee will hold a hearing to discuss potential solutions for the regulation of investment advisors and broker/dealers. [read post]
26 Sep 2011, 2:59 am
Tip: The client’s trusted advisors must work together to determine the best combination of strategies and financial products that will gain eligibility for monthly death pension but not disqualify the client from Medicaid. [read post]
22 Sep 2011, 11:02 pm
Tom Coyner is a senior advisor to the IPG and runs Softlanding Consulting Korea. [read post]
22 Sep 2011, 11:38 am
Some advisors are afraid of offending their clients, other advisors may simply feel that religion has no bearing on the financial service they provide; but a recent article in the Wall Street Journal questions this assumption and asks is there a circumstance under which business and religion should mix? [read post]
22 Sep 2011, 6:55 am
The second issue the court was asked to decide was: whether it was an abuse of discretion for the district court to award Serricchio reinstatement to his prior financial advisor position with a fixed salary, even though his pre-service compensation was wholly commission-based. [read post]
21 Sep 2011, 5:39 am
http://tinyurl.com/4xtlvkz (John Moe) What is the Real impact of Social Media for Financial Advisors? [read post]
20 Sep 2011, 2:02 pm
(“Pointe”) of Boca Raton, Florida, $300,000.00 for mischaracterizing a portion of the commission charges as fees for handling services. [read post]
19 Sep 2011, 11:22 am
Some advisors are afraid of offending their clients, other advisors may simply feel that religion has no bearing on the financial service they provide; but a recent article in the Wall Street Journal questions this assumption and asks is there a circumstance under which business and religion should mix? [read post]
17 Sep 2011, 2:27 pm
While applauding the SEC Reorganization Act introduced by Financial Services Committee Chair Spencer Bachus (R-Ala), former SEC Commissioner Paul Atkins cautioned that parts of the draft legislation may be too prescriptive. [read post]
16 Sep 2011, 1:56 pm
Department of Agriculture’s Wildlife Services division provides taxpayer-subsidized wildlife extermination services to private agribusiness, spending millions of dollars every year. [read post]
16 Sep 2011, 7:30 am
(now known as JHS Capital Advisors, Inc.), were fined for charging excessive handling fees that greatly exceeded the cost of the handling services provided by the firms. [read post]
15 Sep 2011, 8:22 am
The seminar is almost always hosted by an insurance agent who uses the title "trust advisor," "senior estate planner" or "paralegal" instead of insurance agent. [read post]
