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21 Apr 2011, 1:40 am
Her husband is an ex-Wall Street type… not a banker per se, but more an financial advisor kind of guy I think. [read post]
20 Apr 2011, 4:54 pm
She also works with plan fiduciaries, plan sponsors, insurers, administrators, brokers and advisors, bankruptcy trustees, creditors, debtors, service providers and their officers and directors about the prevention, investigation, mitigation and resolutions of civil and criminal liability arising from suspected or known benefit administration claims, breaches of fiduciary duty, privacy and data security breach, vendor disputes and other disputes arising in relation to… [read post]
18 Apr 2011, 5:14 am
Please note, however, that on page 2 of the guide it recommended that readers consult with the legal and/or financial advisors when selecting a business organization. [read post]
17 Apr 2011, 8:25 am
Some funds have a lack of oversight to the extent that their officers and directors often take expensive trips to resorts and similar destinations for meetings amongst themselves, investment advisors and potential investors (part of the kickback they receive). [read post]
14 Apr 2011, 4:30 pm
Financial Services Patent Holding Company Update - March 2011 [In: Finance & Banking, Intellectual Property |By: Sutherland Asbill & Brennan LLP]16. [read post]
13 Apr 2011, 10:52 am
I feel strongly now that law schools now need to offer quality careers advice in careers other than law, such as teaching, the financial services or charity work (e.g. in human rights). [read post]
12 Apr 2011, 11:16 am
The term “unauthorized use” does not include the following uses of covered information relating to an individual by a covered entity or its service provider (if the use is reasonable and consistent with the practices and purposes described in the covered entity’s privacy notice given the individual): To process and enforce a transaction or deliver a service requested by that individual To operate the covered entity that is providing a transaction… [read post]
11 Apr 2011, 1:00 pm
FINRA fined UBS Financial Services, Inc. $2.5 million, and required it to pay $8.25 million in restitution for omissions and misleading statements made regarding the "principal protection" feature of Lehman Brothers100% Principal-Protection Notes (PPNs). [read post]
11 Apr 2011, 1:00 pm
FINRA fined UBS Financial Services, Inc. $2.5 million, and required it to pay $8.25 million in restitution for omissions and misleading statements made regarding the "principal protection" feature of Lehman Brothers100% Principal-Protection Notes (PPNs). [read post]
11 Apr 2011, 12:41 pm
FINRA further alleged that UBS failed to disseminate adequately to its financial advisors certain market information relating to Lehman’s financial conditions and UBS failed to establish an adequate supervisory system for its financial advisors training, marketing and sale of PPNs. [read post]
11 Apr 2011, 9:13 am
Consequently, certain financial advisors communicated incorrect information to their customers. [read post]
11 Apr 2011, 12:20 am
Others simply don't like the idea that information about them is being gathered for someone else's financial gain (even though that gain is being used to pay for the service that the user is enjoying). [read post]
8 Apr 2011, 10:00 pm
CBO Director Douglas Elmendorf released the cost projection at a recent House Financial Services Oversight and Investigations Subcommittee hearing on the reform law. [read post]
8 Apr 2011, 8:41 am
Hanlon, or Delta Equity Services Corporation, your losses may be recoverable. [read post]
6 Apr 2011, 2:02 pm
And the 10 Worst. - Florida lawyer Santiago Cueto of Cueto Law Group on his blog International Business Law Advisor Cleaning Up The Mortgage Meltdown: New SAFE Act Requirements For Employees In The Financial Industry - Seattle attorney Russell Terry of Foster Pepper on the firm's blog, Washington Workplace Law What Can a Judge Do About Your IRS Income Tax Dependency Exemption Dispute? [read post]
6 Apr 2011, 1:23 pm
So if you have any concerns about how you are classifying workers, then take a time-out and consult with your tax advisor. [read post]
6 Apr 2011, 1:23 pm
So if you have any concerns about how you are classifying workers, then take a time-out and consult with your tax advisor. [read post]
5 Apr 2011, 9:37 am
Financial market authorities or stock exchanges work within different legislative frameworks and have developed different practices. [read post]
4 Apr 2011, 9:02 am
$1,348,000 KMS Financial Services Inc [read post]
4 Apr 2011, 8:30 am
Most companies, however, need the products or services of its creditor vendors to survive. [read post]
