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6 Mar 2010, 2:02 pm
This was set up by a Labour government in 1949, and was at that time considered to be an essential service along with the national health service. [read post]
5 Mar 2010, 9:05 am
It also serves to protect consumers from financial fraud and preserve the integrity of Florida’s markets and financial service industries. [read post]
4 Mar 2010, 6:09 am
Editor’s Note: Robert Monks is the founder of Lens Governance Advisors, a law firm that advises on corporate governance in the settlement of shareholder litigation. [read post]
3 Mar 2010, 1:06 pm
""Article from Financial Advisor Magazine HERE [read post]
2 Mar 2010, 7:52 am
‘Meeting’ is a euphemism for ‘avoiding while giving lip service to. [read post]
2 Mar 2010, 6:46 am
When in doubt, we suggest you contact your local bar association's Lawyer Referral Service. [read post]
1 Mar 2010, 5:15 am
We are proud to serve as trusted counsel and advisors who look for a business solution and try to help lenders find the best possible resolution for each troubled loan. [read post]
28 Feb 2010, 1:18 am
Below is a more detailed outline of the seminar which can also be found here. **** Registration for National Futures Association’s Commodity Pool Operator/Commodity Trading Advisor Regulatory Seminar Tuesday, March 2, 2010 UBS Conference Center Chicago, Illinois In light of the economic upheaval that has dramatically affected the financial markets, the regulatory landscape for Commodity Pool Operators and Commodity Trading Advisors is changing. [read post]
25 Feb 2010, 5:09 am
To prepare for a meeting with the lender, the owner should: • Know the property and its financial situation. [read post]
24 Feb 2010, 7:47 am
In the words of Richard Thomas, the UK’s former Information Commissioner and Senior Global Privacy Advisor to Hunton & Williams, the case is “ridiculous” and “it is unrealistic to expect firms to monitor everything that goes online. [read post]
23 Feb 2010, 9:45 am
The podcast that you have been listening to has been provided as an information service. [read post]
23 Feb 2010, 6:16 am
They are facing scrutiny from shareholders, Congress, regulators and the public, and new proposals to address the causes of the financial crisis have been emerging on almost a daily basis for over a year now. [read post]
22 Feb 2010, 4:32 pm
We are proud to serve as trusted counsel and advisors who look for a business solution and try to help lenders find the best possible resolution for each troubled loan. [read post]
22 Feb 2010, 8:49 am
Combining customer claims into a single arbitration often makes sense from a practical and economic standpoint, such as when the clients are related or are customers of the same financial advisor. [read post]
22 Feb 2010, 1:08 am
We The People USA is represented in the cases by the law firm Pinckney, Harris & Weidinger, LLC and financial advisor Executive Sounding Board Associates Inc. [read post]
21 Feb 2010, 7:14 pm
However, the NCAA financial disclosure requirements are vague and allow an aggregate reporting of revenue expenditures. [32] Therefore, it is difficult to determine exactly how much student-athletes are benefiting (at least financially) through the NCAA’s funding. [read post]
17 Feb 2010, 7:13 pm
The Financial Industry Regulatory Authority (FINRA) has fined H&R Block Financial Advisors (now Ameriprise Advisor Services) $200,000 for failing to put in place the proper system to supervise its reverse convertible notes (RCN) sales to retail clients. [read post]
17 Feb 2010, 11:23 am
FINRA, Financial Industry Regulatory Authority announced that it was fining H&R Block Financial Advisors, Inc. [read post]
17 Feb 2010, 11:23 am
FINRA, Financial Industry Regulatory Authority announced that it was fining H&R Block Financial Advisors, Inc. [read post]
17 Feb 2010, 6:19 am
The Financial Industry Regulatory Authority (FINRA) announced its first enforcement action involving the sales of reverse convertible notes (RCNs) — fining H&R Block Financial Advisors, Inc., (n/k/a Ameriprise Advisor Services, Inc.) $200,000 for failing to establish adequate supervisory systems and procedures for supervising sales of RCNs to retail customers. [read post]
