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15 Feb 2011, 8:32 am
Considered by the staff, but not recommended in the study, was the repeal of the exclusion from the definition of an investment adviser under the Advisers Act for a broker or dealer providing investment advisory services but the performance of such services is incidental to its business as a broker or dealer and which receives no special compensation for such services. [read post]
14 Feb 2011, 5:21 am
This agency will put a cop on the beat to enforce the laws on credit cards, mortgages, student loans, prepaid cards, and other kinds of consumer financial products and services,” said Elizabeth Warren, Assistant to the President and Special Advisor to the Secretary of the Treasury on the CFPB, in a new video available on the website. [read post]
14 Feb 2011, 4:10 am
To enroll a domestic partner in NYSHIP the participant must have been in the partnership for at least six months and be able to provide "proof of residency and financial interdependence. [read post]
11 Feb 2011, 4:21 pm
Indeed, the TMA website observes that less than half of its members (45%) are "Turnaround practitioners who consult with or participate in helping troubled companies in the recovery process, including interim corporate managers, financial and operating advisors, accountants. [read post]
11 Feb 2011, 7:52 am
Under the terms of the settlement, UBS Securities LLC and UBS Financial Services, Inc. have agreed to offer the repurchase of $1.5 billion in ARS sold to retail investors in New Jersey. [read post]
11 Feb 2011, 7:45 am
Scott Farah was allegedly a registered representative of the broker-dealer Franklin Financial Services Corporation (now known as American General Equity Services Corporation) from March 1999 through October 2002. [read post]
10 Feb 2011, 4:51 pm
Despite the government’s and financial advisors’ criticism of RALs, the public apparently still likes them. [read post]
10 Feb 2011, 3:05 pm
Professor Elizabeth Warren, White House special advisor, appointed Mr. [read post]
10 Feb 2011, 12:56 pm
Penn Law Practice Professor and Clinical Director Louis Rulli serves on the Philadelphia Bar Association’s Task Force on Civil Gideon and was appointed in 2010 as the first pro bono and delivery of legal services advisor to the Association's Cabinet. [read post]
9 Feb 2011, 2:34 am
It will also work to make regulations and guidance as clear and streamlined as possible so providers of consumer financial products and services can follow the rules on their own. [read post]
8 Feb 2011, 4:56 pm
Their role in this case and financial involvement in this settlement and the expected multimillion dollar legal fees are not apparent in the currently publicly available settlement documentation. [read post]
8 Feb 2011, 11:09 am
Financial advisors are paid professionals, and provide a service that some investors suggest is without cost, but is it? [read post]
7 Feb 2011, 4:23 am
Jay Cohen, formerly of Bryn Mawr, was found to have duped older Pennsylvanians by offering services described in promotional materials as “non-legal, financial and estate-planning services” and claimed he was an accredited “certified senior advisor. [read post]
7 Feb 2011, 3:00 am
" Matter of Singh (Data Palette Information Services, LLC), Short Form Order, Index No. 4797/10 (Sup Ct Queens County Jan. 7, 2011). [read post]
4 Feb 2011, 5:00 am
The rule allows an advisor to apply to the SEC for an order exempting it from application of the two-year ban. [read post]
3 Feb 2011, 2:28 pm
The underlying purpose of Section 975 is to subject independent municipal financial advisors to the same registration, record-keeping and liability burdens as already exist under federal securities law for brokers, dealers and investment advisors. [read post]
3 Feb 2011, 9:26 am
Memoranda, staff evaluations, or other records prepared by the responsible public entity, its staff, outside advisors, or consultants exclusively for the evaluation and negotiation of proposals filed under the Public-Private Transportation Act of 1995 (§ 56-556 et seq.) or the Public Private Education Facilities and Infrastructure Act of 2002 (§ 56-575.1 et seq.), where (i) if such records were made public prior to or after the execution of an interim or a comprehensive agreement,… [read post]
1 Feb 2011, 7:46 pm
As advisors we can monitor, and assist with a wide range of common challenges for the caregivers of aging parents including health, insurance, legal, and financial issues and the evaluation of residential options, home, assisted living, and/or nursing home. [read post]
1 Feb 2011, 8:52 am
As an aside, it’s an interesting sort of debate you find sometimes with financial advisors, and certainly in Canada, that the law is quite clear and expressly clear that as long as you’ve got a Will, a notarial copy of it, you should be able to put that to…I tell my clients you should be able to put that to the financial advisor and tell them to sell the assets. [read post]
30 Jan 2011, 7:34 pm
Although it is too soon to tell how well these obviously bright people will function in a bureau whose primary mission is to regulate consumer financial products and services (and while they're at it, to "level playing fields"), a logical preliminary prognostication might be that the choice of these people out of gate, which we assume was made "de facto" if not "de jure" by "Special Advisor" Elizabeth Warren, indicates that Ms. [read post]
