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16 May 2010, 6:05 pm
The division is also close to recommending to the SEC that it adopt revisions to Part 2 of Form ADV, which is the main disclosure document that clients get from investment advisors. [read post]
14 May 2010, 6:54 am
At Hall's direction, Cooper and David Jarman, a local financial advisor whom Hall had appointed as a trustee of the Kingsley Trust, opened bank accounts in the St. [read post]
12 May 2010, 12:02 pm
Enron and its related subsidiaries had a complex financial structure, and the FBI had seized some ten million documents. [read post]
12 May 2010, 8:37 am
JMBM represents commercial banks, special servicers, private lenders, asset-based lenders, hard money lenders and factors. [read post]
12 May 2010, 6:35 am
The Wall Street Journal is reporting that two financial advisers have been ordered to pay nearly $1.9 million to the advisers' former employer, Chicago-based Mesirow Financial Holdings, Inc., and two of its divisions that alleged breach of contract and theft of trade secrets.The award by an arbitration panel of the Financial Industry Regulatory Authority included a rare dissent by the three-person panel's chairman. [read post]
12 May 2010, 3:15 am
In fact, even where cases are lost, claimants are not usually required to pay the costs of their legal advisors under no win no fee arrangements. [read post]
11 May 2010, 9:11 am
And we had some really interesting feedback from these advisors who are selling obviously life insurance but also are financial advisors and so we had a broad spectrum of input from our discussions and some of the topics that we put forward. [read post]
8 May 2010, 9:48 am
While the scope of service may vary between clients, the standards of loyalty and care in providing the service should not,” said Commissioner Aguilar. [read post]
8 May 2010, 6:00 am
"It can happen to all of us," says Cynthia Healy, president and founder of Security Financial Advisors Inc. in Monterey. [read post]
6 May 2010, 4:25 pm
Article by Financial Advisor"Tax lawyers want the IRS to lighten up on corporate executives when honest mistakes are made in their deferred pay plans. [read post]
4 May 2010, 10:00 pm
(My financial advisors have pointed out that I could make a lot more money by training every lawyer, but I never listen to that kind of advice.) [read post]
3 May 2010, 8:56 pm
VSR Financial Services Inc., with a $28,089,888 average AUM/rep 9. [read post]
3 May 2010, 1:37 pm
That scenario presented itself to my firm several weeks ago in a litigation matter when a large financial services company filed a law suit, claiming that our clients, two of the plaintiff’s former financial advisors and their newly formed company, misappropriated the plaintiff company’s trade secrets. [read post]
3 May 2010, 12:20 pm
Click on the links for more information about JMBM's Special Assets Team™, Corporate, Secured Lender Defense, Creditors' Rights, or Banking & Financial Services practice groups. [read post]
3 May 2010, 12:28 am
###Dan DiBartolomeoDan is President and founder of Northfield Information Services, a Boston-based firm that develops quantitative models of financial markets. [read post]
1 May 2010, 5:35 pm
Developments in the Hedge Fund Market Location: London May 11 Sponsor: Professional Financial Advisors, Inc. [read post]
1 May 2010, 1:39 pm
Scott Daniel Hendrickson of Yorba Linda, California, formerly with Ameriprise Advisor Services, was fined $10,000 and suspended from association with any FINRA member in any capacity for two years. [read post]
1 May 2010, 12:39 pm
Scott Daniel Hendrickson of Yorba Linda, California, formerly with Ameriprise Advisor Services, was fined $10,000 and suspended from association with any FINRA member in any capacity for two years. [read post]
27 Apr 2010, 5:01 am
Australia Looking to Take Say-on-Pay One Step Further Below are three items that I recently blogged on CompensationStandards.com's "The Advisors' Blog": As noted in the excerpt below of this article from Manifest (a European proxy advisor service), Australia may take the concept of say-on-pay further than proposed here in the US (here is the Australian's full response on this topic): Australian Minister for Financial… [read post]
26 Apr 2010, 5:28 pm
I bring this up because I just read yet another great post on Santiago Cueto's International Business Law Advisor blog, which blog if you are not reading, you should be. [read post]
