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3 Apr 2011, 10:01 am
She has also gained expertise in finance while representing various financial institutions, large-scale developers and investors at national law firms.Stephanie taught affordable housing law at the University of Michigan Law School- Legal Assistance for Urban Communities Clinic in Ann Arbor, Michigan as an adjunct clinical assistant professor. [read post]
31 Mar 2011, 8:49 pm
Effective January 1, 2010, the Legislature amended section 10136 to require the transferee to pay for the cost of “independent legal or financial advice regarding the transaction,”“up to one thousand five hundred dollars ($1,500). [read post]
30 Mar 2011, 11:48 am
Although Regulation D does not specifically mandate that an investment advisor be involved with each non-accredited investor, it is generally advisable in that it ensures that each investor "has the knowledge and experience in financial matters that they are capable of evaluating the risks and merits of the prospective investment" as required by the 1933 Act. + Full and Fair Disclosure - Antifraud Provisions The 1933 Act requires that the offering documents fully and… [read post]
29 Mar 2011, 10:26 pm
I'm excited to have the opportunity to speak with Robert Lew, president and founder of Planning & Financial Advisors, on the topic "Incorporating Philanthropy into the Family Wealth Plan: Different Approaches from a Financial Planner and an Estate Planning Attorney. [read post]
28 Mar 2011, 7:02 pm
Trustee together are asking the bankruptcy judge in New York to appoint a Chapter 11 trustee for West End Financial Advisors LLC, the adviser for dozens of funds. [read post]
28 Mar 2011, 7:06 am
" In the EMS transaction, BofA Merrill Lynch and Goldman Sachs were co-financial advisors. [read post]
27 Mar 2011, 6:05 pm
Moreover, Warren is an Assistant to the President and Special Advisor to the Secretary of the Treasury on the Consumer Financial Protection Bureau. [read post]
25 Mar 2011, 12:37 pm
You can hire financial advisors to make investments, accountants to handle taxes and bookkeeping for the trust, and lawyers to advise you on questions of interpretation. [read post]
24 Mar 2011, 2:30 pm
Cestero, who will leave public service at the end of March as previously announced. [read post]
23 Mar 2011, 6:00 am
The agency’s stated mission is “to make markets for consumer financial products and services work for Americans” by ensuring that the price and risks associated with these products and services are “clear” and “visible. [read post]
20 Mar 2011, 2:29 pm
Eight senators are lawyers, four are bankers, two are stockbrokers or financial advisors, three are or have been educators. [read post]
18 Mar 2011, 10:04 am
These were some very rough and tumble years for those in the financial services industry, so all in all… very nicely done there. [read post]
17 Mar 2011, 4:26 am
A Dodd-Frank Start-Up: The CFPB In testimony yesterday before the House Subcommittee on Financial Institutions and Consumer Credit of the Committee on Financial Services, Special Advisor to the Treasury Secretary for the Consumer Financial Protection Bureau Elizabeth Warren provided an overview of the progress to date in establishing the Consumer Financial Protection Bureau, the goals of the CFPB and its approach to regulating consumer… [read post]
16 Mar 2011, 9:45 am
On September 17, 2010, President Obama appointed Elizabeth Warren to serve as Assistant to the President and Special Advisor to the Secretary of the Treasury on the Consumer Financial Protection Bureau. [read post]
16 Mar 2011, 5:00 am
Earlier this week the House Committee on Financial Services distributed a press release about five potential bills that would revise the financial service legislation: The Asset-Backed Market Stabilization Act The Small Company Capital Formation Act The Small Business Capital Access and Job Preservation Act The Business Risk Mitigation and Price Stabilization Act The Burdensome Data Collection Relief Act Besides the sensationalist graphics, the Small Business… [read post]
16 Mar 2011, 5:00 am
Earlier this week the House Committee on Financial Services distributed a press release about five potential bills that would revise the financial service legislation: The Asset-Backed Market Stabilization Act The Small Company Capital Formation Act The Small Business Capital Access and Job Preservation Act The Business Risk Mitigation and Price Stabilization Act The Burdensome Data Collection Relief Act Besides the sensationalist graphics, the Small Business… [read post]
16 Mar 2011, 1:48 am
To access copies of all major court filings from this case, please visit: http://www.chapter11cases.com/West-End-Financial-Advisors-LLC_c_23709.html#axzz1GkRw4b6O [read post]
15 Mar 2011, 6:21 pm
However, some CFTC registered firms can operate under a “lite-touch” regulatory regime if the firm only provides investment management services to qualified eligible persons. [read post]
15 Mar 2011, 8:00 am
Wall Street Journal reporter Suzanne Barlyn published an article describing the deficiencies in the public disclosure of background information about securities industry professionals through the BrokerCheck service offered by the Financial Industry Regulatory Authority ("FINRA"). [read post]
15 Mar 2011, 6:14 am
In addition to these sites, there are various third-party sites/services that provide information related to stockbrokers, financial advisors, and investment advisers. [read post]
