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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]
15 Sep 2011, 5:00 am
House Financial Services Committee Chairman Spencer Bachus has introduced the Investment Adviser Oversight Act of 2011. [read post]
15 Sep 2011, 3:30 am
Its registered marks are CALYPSO OVERSEAS, CALYPSO PARTNERS, and CALYPSO ADVISORS. [read post]
15 Sep 2011, 2:00 am
Yesterday the House Committee on Financial Services held a hearing to discuss draft legislation that would authorize self-regulatory groups like the Financial Industry Regulatory Authority (FINRA) to examine investment advisers. [read post]
14 Sep 2011, 1:47 pm
He assured me the company was in a strong financial condition and in no danger of failing. [read post]
13 Sep 2011, 2:29 pm
The Medallion Signature Guarantee is an accepted protocol within the Financial Services Industry whereby certified signature guarantors, usually affiliated with an established financial institution, serve as signature guarantors for certain financial documents requiring the heightened level of review, scrutiny and security offered by the Medallion Guarantee Signature Guarantee Program. [read post]
13 Sep 2011, 2:29 pm
The Medallion Signature Guarantee is an accepted protocol within the Financial Services Industry whereby certified signature guarantors, usually affiliated with an established financial institution, serve as signature guarantors for certain financial documents requiring the heightened level of review, scrutiny and security offered by the Medallion Guarantee Signature Guarantee Program. [read post]
12 Sep 2011, 7:28 am
The company is now known as JHS Capital Advisors Inc. and is under new management. [read post]
12 Sep 2011, 7:23 am
The company is now known as JHS Capital Advisors Inc. and is under new management. [read post]
12 Sep 2011, 7:23 am
The company is now known as JHS Capital Advisors Inc. and is under new management. [read post]
9 Sep 2011, 2:40 pm
Bank VP admits stealing from trust fund, annuity – by Andy Marso A former vice president of Baltimore-based Harbor Financial Services Inc. admitted he stole more than $800,000 from the trust fund of a child with cerebral palsy and the annuity of an 85-year-old dementia sufferer. [read post]
