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12 May 2011, 9:02 am
From INSURANCENEWSNET.COM (May 5, 2011) “Financial Planner Slapped with Suit” Any time you have a financial services company marketing exclusively to retirees and elderly people, it raises questions We work with many qualified financial planners to assist clients with comprehensive estate and financial planning. [read post]
12 May 2011, 5:00 am
If the product or service is valid, it won't have to be sold with screaming headlines or scare tactics. [read post]
11 May 2011, 5:29 pm
Here is what is available from American Legal Media (ALM) now via LexisNexis: Accounting & Financial Planning for Law Firms The American Lawyer The Asian Lawyer The Bankruptcy Strategist Broward Daily Business Review Business Crimes Bulletin California Supreme Court Service Commercial Leasing Law & Strategy The Connecticut Financial Tribune Connecticut Law Tribune Corporate Counsel Magazine The Corporate Counsellor Newsletter The Daily Report (GA) Delaware Business… [read post]
9 May 2011, 7:38 pm
Clara Shih, the CEO of a company that provides social media services to financial service business, wrote a nice article for the most recent edition of the ABA Banking Journal entitled "6 Steps Every Financial Professional Should Take Before Using Linkedin. [read post]
9 May 2011, 1:30 pm
Prudential relied on the Medical Disability Advisor (MDA) guidelines. [read post]
9 May 2011, 9:33 am
Will they remember you when they meet someone who needs your services? [read post]
6 May 2011, 2:12 pm
" If Obama were to recess appoint a CFPB director, Republicans could also hold up any other financial services nominees. [read post]
6 May 2011, 7:44 am
The Financial Industry Regulatory Authority (andquot;FINRAandquot;) fined Wells Fargo Advisors, LLC of St. [read post]
5 May 2011, 7:05 am
Continued from Marketing Your Product or Service: Business Plan Part Four.Funding: The Funding section sets forth the amount of funding necessary to start or expand your business. [read post]
4 May 2011, 2:24 pm
This list would include contact information for an attorney, financial advisor, primary care physician, and insurance agent. [read post]
4 May 2011, 5:00 am
Morgan) who voted for the loan were engineers without financial acumen, and because they didn’t think to retain their own financial advisor they were at the mercy of the financial advice they received from Copeland and the other conflicted directors. [read post]
2 May 2011, 8:12 am
Update on Dodd-Frank Investment Adviser Registration Requirements Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), which became law on July 21, 2010, repealed effective July 21, 2011, the private advisor exemption from registration as an investment adviser under the Investment Advisers Act of 1940 (Advisers Act). [read post]
29 Apr 2011, 12:58 pm
A Financial Industry Regulatory Authority arbitration panel says that Lincoln Financial Advisors Corporation must pay the Wright Family Trust $1.6M over securities claims related to investments that were made in a number of funds. [read post]
29 Apr 2011, 12:23 pm
He often becomes more of a businessman concerned with his own financial well-being than a proper advisor to the client … The contingent fee is now viewed as giving a lawyer an interest in the actual accident, disaster, or transaction that precipitated the lawsuit and a stake in its outcome. [read post]
27 Apr 2011, 7:29 pm
An investing entity whose only investors are financial institutions and institutional buyers as set forth in M.G.L. c. 110A, § 401(m) and 950 CMR 12.205(1)(a)6.a. and b. [read post]
27 Apr 2011, 6:31 am
The typical business plan includes the following sections: Executive Summary; Market Analysis; Company Description; Organization & Management; Marketing; Service or Product Line; Funding; Financials; and Appendix. [read post]
26 Apr 2011, 6:43 am
The course that is taught by the Ocean Tomo team exposes our students to cutting-edge thinking regarding future financial trends, including global IP markets. [read post]
25 Apr 2011, 2:12 am
” Or on another line: “This is the District line service to Barking. [read post]
22 Apr 2011, 7:00 am
According to court documents, DeMiro was an investment adviser to various municipalities, credit unions, school districts, and trade unions through his Southfield-based companies MuniVest Financial Group and MuniVest Services LLC. [read post]
22 Apr 2011, 6:58 am
The Financial Industry Regulatory Authority (FINRA) has fined UBS Financial Services $2.5 million over PPNs, requiring the brokerage firm to pay $8.25 million in restitution for omissions and statements made to investors about the products. [read post]
