Search for: "Financial Advisors Services"
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10 Oct 2010, 9:30 pm
Andrew Sheng, Chief Advisor to the China Banking Regulatory Commission, puts it in a nutshell: there was massive private gain in the US financial sector leading to massive public loss. [read post]
6 Oct 2010, 4:33 pm
He comments on the article, the conclusions about issues facing financial planners and registered reps and offers some insight on how advisors can get ahead of the game by working closely with their compliance departments. [read post]
5 Oct 2010, 5:25 am
And so he ended up listening to his advisors, listening to the professionals in the prison department and getting 10,000 people cut from the prison population. [read post]
4 Oct 2010, 7:42 am
The following is a summary review of articles from all over the nation concerning environmental law settlements, decisions, regulatory actions and lawsuits filed during the past week. [read post]
4 Oct 2010, 2:01 am
The Form ADV and Part 2 are publicly available to investors through the SEC’s Advisor Search tool. [read post]
4 Oct 2010, 1:54 am
Among other things, Judge Preska found that the inference of scienter that plaintiffs urged "is not at least as strong as the inference that Oppenheimer negligently or carelessly provided insufficient training to its financial advisors and was merely negligent in not detecting and disclosing the imminent market collapse. [read post]
1 Oct 2010, 7:50 am
The trend toward independent trust companies is part of a larger historical shift away from full-service national institutions to online brokers and independent advisors. [read post]
30 Sep 2010, 12:12 am
According to corporate resolutions authorizing the bankruptcy filings, they will also seek to retain Tavenner & Beran, PLC, as co-counsel and conflicts counsel; Arnold & Porter LLP, as special counsel; Kaufman & Canoles, P.C., as corporate counsel; FTI Consulting, as financial advisors; and Kurtzman Carson Consultants LLC, as claims, noticing, and balloting agent. [read post]
23 Sep 2010, 9:00 am
"There is a dirty little secret in legal and financial services. [read post]
23 Sep 2010, 6:00 am
If you are a woman (or love someone who is), don’t accept poor service or communication from any legal or financial advisors. [read post]
23 Sep 2010, 12:27 am
We know many families are struggling with unbearable financial stress. [read post]
22 Sep 2010, 5:38 am
Jarrett as Senior Advisor. [read post]
21 Sep 2010, 7:09 pm
Laurie Posner (PNC Capital Advisors) 10:00 – 10:30 – Coffee Break (Sponsored by Firm 58) 10:30 – 11:00 – Manager Selection and Portfolio Creation at a Fund of Funds (Sponsored by Ruddy Law Office, PLLC) Speaker To Be Confirmed (The Kenmar Group) 11:00 – 12:00 – Innovations in Investment Products and Marketing Exchange Traded Funds (Sponsored by Michael Coglianese CPA, PC) Tim Pickering (Auspice Capital Advisors Ltd) 11:00 – 12:00… [read post]
20 Sep 2010, 1:47 pm
In fact, the first line in the Protocol mentions clients' interest in privacy and "freedom of choice in connection with the movement of their Registered Representatives...between firms"The Protocol had three founding members - CitiGroup, Merrill Lynch and UBS Financial - and since its inception many years ago the list has exploded as firms have clearly made the decision that the benefits they can obtain from recruiting and hiring registered representatives far outweigh the… [read post]
19 Sep 2010, 3:20 pm
” And Yves Smith again, in response to Johnson’s comment… “The Administration is not about to change its stripes and suddenly take an action that might actually lead to some effective measures against the financial services industry. [read post]
18 Sep 2010, 12:10 pm
” Not all of this can be blamed on financial advisors though. [read post]
18 Sep 2010, 2:40 am
NestEgg Advisors, Inc., FA1007001333697 (Nat. [read post]
17 Sep 2010, 2:14 pm
Warren is considered a strong consumer advocate and her ideology has some in the financial services industry concerned. [read post]
17 Sep 2010, 12:10 pm
The law calls on the agencies to coordinate with respect to rulemaking where there is an overlap of authority.Within the FTC Bureau of Consumer Protection, the Division of Financial Practices currently regulates the marketing of certain financial products as well as the provision of debt collection and relief services. [read post]
17 Sep 2010, 10:38 am
Todd mentions Elizabeth Warren’s “kick off” speech for the CFPB, in which she accepts the new “President and Special Advisor to the Secretary of the Treasury? [read post]
