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25 Oct 2018, 8:23 am by ccollins
A Financial Industry Regulatory Authority panel is ordering UBS Financial Services Inc. [read post]
19 Oct 2018, 4:30 am by John-Paul Boyd
They know the law; they have a sense of the boundaries between professional roles; they understand the obligation to make full production and discovery; and, they can usefully take some of the heat when dispute resolution processes enter the final innings and emotions rise. [read post]
18 Oct 2018, 7:57 am by John Jascob
NYSE Arca charged a $750 per month access fee and additional device fees based on whether the subscriber was a professional ($30/month) or non-professional ($10/month), with a cap for broker-dealers regarding non-professionals at $20,000/month. [read post]
16 Oct 2018, 3:55 pm by Cynthia Marcotte Stamer
Health plans, their employer and other sponsors and fiduciaries, health insurers, health care providers, health care clearinghouses and their business associates should study and learn from the just announced, record-setting $16 million resolution agreement between health insurance giant, Anthem, Inc., to resolve Department of Health & Human Services Office of Civil Rights (OCR) charges that Anthem, Inc. [read post]
8 Oct 2018, 6:55 pm by Kenneth Vercammen Esq. Edison
Medical expenses can be deducted in the inheritance tax.Under United States Supreme Court Case, Tulsa Professional Collection Services, Inc., v. [read post]
20 Sep 2018, 2:27 pm by ccollins
He previously worked with Comerica Securities, L M Kohn & Company, Leonard & Company, Natcity Investments, Inc., First of America Brokerage Service, Independence One Brokerage, and two other firms. [read post]
20 Sep 2018, 7:21 am by John Jascob
“New Yorkers deserve basic transparency and accountability when they invest—whether on the New York Stock Exchange or on a cryptocurrency platform. [read post]
12 Sep 2018, 6:41 am by Cynthia Marcotte Stamer
Among other things, it would: End required minimum distributions of funds from 401(k) plans and other retirement savings accounts for retirees with balances under $50,000; and Protect the ability of participants invested in lifetime income options through an employment-based retirement plan against losing these investment guarantees when their employer changes recordkeepers. [read post]
10 Sep 2018, 7:49 pm by Cynthia Marcotte Stamer
Stamer’s clients include employers and other workforce management organizations; employer, union, association, government and other insured and self-insured health and other employee benefit plan sponsors, benefit plans, fiduciaries, administrators, and other plan vendors;  managed care organizations, insurers, self-insured health plans and other payers and their management; public and private, domestic and international hospitals, health care systems, clinics, skilled nursing, long… [read post]
31 Aug 2018, 11:11 am by IncNow
This accounts for why almost 75% of new businesses formed today are LLCs. [read post]
17 Aug 2018, 1:05 pm by SEClaw Staff
Ameriprise Financial Services Charged for Failing to Safeguard Client AssetsAmeriprise Financial Services Inc. will pay $4.5 million to settle charges that it failed to safeguard retail investor assets from theft by its representatives. [read post]
17 Aug 2018, 1:05 pm by SEClaw Staff
Ameriprise Financial Services Charged for Failing to Safeguard Client AssetsAmeriprise Financial Services Inc. will pay $4.5 million to settle charges that it failed to safeguard retail investor assets from theft by its representatives. [read post]
16 Aug 2018, 9:06 am by Charlotte Garden
” The case turned on whether undocumented workers qualify as “employees” under the National Labor Relations Act, an issue that the Supreme Court answered affirmatively in 1984, in Sure-Tan, Inc. v. [read post]
6 Aug 2018, 1:00 pm by Corbin Bridge
Consolidation has brought professional management, increased scale on operations and greater liquidity to the industry[3]. [read post]
3 Aug 2018, 11:55 am by IncNow
Be careful when clients or their accountants have filed their own Certificate of Formation. [read post]
31 Jul 2018, 9:09 pm by Cynthia Marcotte Stamer
  Semma then allegedly failed to fully pay over the amounts he withheld to the Internal Revenue Service (IRS). [read post]
26 Jul 2018, 9:53 am by Overhauser Law Offices, LLC
Harmon also utilized a logo to promote his services that was allegedly intended to be confusingly similar with that of the registered NWA logo. [read post]
26 Jul 2018, 8:00 am by Charles B. Jimerson, Esq.
”  In this scenario the attorney’s fees and accounting fees incurred in due diligence may be the only damages incurred by the seller. [read post]