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1 Sep 2011, 4:15 pm
Mark Andrew Sibert, formerly with Uvest Financial Services Group, Inc. in San Diego, CA, was barred from association with any FINRA member in connection with findings that he engaged in private securities transactions without approval from Uvest and solicited his firm's customers to invest in his company, which was supposed to raise money to invest in real estate and gold-mining. [read post]
1 Sep 2011, 5:53 am
Many financial advisors say that if your 403(b) only has high cost investments, you are better off foregoing participation and contributing to a Roth IRA, a traditional IRA, or even in some instances a taxable account. [read post]
31 Aug 2011, 3:05 pm
In 2001, she took a position as an Attorney Advisor for the United States Department of Commerce, where she now serves as the Deputy Chief of the General Law Division. [read post]
31 Aug 2011, 10:36 am
Financial Advisors: How many financial advisors do you know who say they practice estate planning? [read post]
31 Aug 2011, 7:55 am
Amnesty International continues to lobby for an investigation of Dick Cheney for war crimes, reports the Talk Radio News Service. [read post]
30 Aug 2011, 11:39 am
We offer our services on a contingent fee basis, and there is never any charge for a consultation. [read post]
29 Aug 2011, 11:00 am
Most CPA's, Enrolled Agents, and Financial Advisors I know attend so they can satisfy their Continuing Education Requirements and learn from the presenters so they can improve the quality of the services they provide to their clients. [read post]
26 Aug 2011, 8:21 am
Financial advisors, college admissions counselors, and the school’s financial services center may be able to help you explore your options for paying for tuition. [read post]
23 Aug 2011, 8:58 am
The aim of Glass-Steagall was to protect citizens and the economy from a financial bubble and collapse. [read post]
23 Aug 2011, 1:39 am
Individual directors and officers were generally covered (depending, of course, upon the primary carrier and policy form in question) for both informal inquiries and requests for information, and civil, criminal, administrative or regulatory investigations commenced by either the issuance of a Target Letter or Wells Notice, or after the service of a subpoena. [read post]
22 Aug 2011, 10:10 am
The Broker Protocol (which we have written about many times before here, and here and here) is a gentleman's agreement in financial services wherein companies agree that their agents and employees may move from company to company, taking certain information with them, so long as (1) it is limited information allowed in the protocol and (2) both companies (new and old) are signatories of the protocol. [read post]
18 Aug 2011, 8:59 am
The dissent argued that the regulated conduct – the “consumption of health care services by the uninsured” – clearly impacts interstate commerce. [read post]
17 Aug 2011, 2:00 am
’ The bases for these allegations are that the Preliminary Proxy discloses that: Jefferies [the Special Committee’s financial advisor] in the past provided financial advisory and financing services to certain affiliates of CVCI and continues to do so and received, and may receive, fees for the rendering of such services, including, during the two-year period prior to the date of Jefferies’ opinion, acting as a… [read post]
15 Aug 2011, 12:24 pm
In fact, our securities law firm is currently representing a group of investors who filed an arbitration claim against Scottsdale, Arizona, financial advisor Randolf Albers who recommended and sold IMH to his clients through Albers Financial Group and Sunset Financial Services, Inc. [read post]
12 Aug 2011, 4:01 am
Filed under: fiduciary duties, financial regulation [read post]
11 Aug 2011, 5:25 pm
Surveying data from the Commerce Department, Bureau of Labor Statistics and the Census Bureau, the pair finds that a full 88.5% of goods and services consumed by U.S. households is produced domestically. [read post]
11 Aug 2011, 1:16 pm
Deutch said, "We are mindful of the nation's financial constraints. [read post]
10 Aug 2011, 7:41 am
But this criticism arguably does not apply to the federal Department of Health and Human Services (HHS), which has been actively churning out proposed rules to implement two major pieces of legislation – the HITECH Act of 2009 (which includes financial incentives to spur adoption of electronic medical records and critical changes to federal health privacy rules) and the Affordable Care Act of 2010, otherwise known as “health reform”. [read post]
8 Aug 2011, 4:11 pm
Mahler of Farrell Fritz in his New York Business Divorce Blog $629 Million Wachovia Bondholders' Settlement: Largest Subprime Securities Suit Settlement Yet - Ohio attorney Kevin LaCroix of OakBridge Insurance Services in his blog, The D & O Diary College Financial Aid and Calculating the Divorced Parent's Pro Rata Obligation for Tuition - NY lawyer Neil Cahn on his blog, Divorce: New York [read post]
4 Aug 2011, 3:40 pm
Turner & Company VSR Financial Services, Inc. [read post]
