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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]
16 Feb 2010, 12:11 pm
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... [read post]
14 Feb 2010, 12:47 pm
Annual Financial Filing Requirement California registered advisors will also need to submit annual financial reports to the California Securities Regulation Division. [read post]
14 Feb 2010, 5:39 am
Broadridge Financial Services, Inc., estimates that, in 2007, more than 98% of retail shareholder who provided voting instructions to their brokers supported the boards’ nominees for director. [read post]
12 Feb 2010, 8:16 am
A financial advisor can help you to carefully analyze long-term needs versus cash-in-hand options. [read post]
12 Feb 2010, 5:16 am
Any securities in the hands of a receiver may, under the control of the court, be deposited by the receiver in a securities depository, as defined in Section 30004 of the Financial Code, which is licensed under Section 30200 of the Financial Code or exempted from licensing thereunder by Section 30005 or 30006 of the Financial Code, and such securities may be held by such securities depository in the manner authorized by Section 775 of the Financial Code. 568.2.… [read post]
11 Feb 2010, 3:03 pm
Blum & Silver, LLP is currently investigating former financial advisor Michael Joseph DiMare. [read post]
10 Feb 2010, 7:49 am
Or we’ve often had situations where a financial advisor is a core element to what the deceased was really get at. [read post]
9 Feb 2010, 4:10 pm
Historically, it would be more difficult for smaller employers - and as Cyndy said however you define that - but let’s say employers that don’t have the ability to have onsite people, health educators, and so forth to deliver these kind of services. [read post]
9 Feb 2010, 2:32 pm
Cyndy is co-founder and President of the Center for Health Value Innovation; Wayne is a member of the Board of Strategic Advisors, and former longtime Corporate Medical Director of JP Morgan Chase. [read post]
9 Feb 2010, 11:33 am
All told, financial support for students interested in public service has increased by $2.75M this year. [read post]
9 Feb 2010, 8:36 am
Delaware's attractiveness is also evidenced by the fact that top-tier legal advisors, foreign acquirers, transactions surrounded by greater financial uncertainty, and larger transactions tend to select Delaware's forum over other venues. [read post]
9 Feb 2010, 5:25 am
Attorneys, financial advisors, accountants, doctors, legal zoom, and Staples will all have you believe that you need a Florida will no matter what your financial situation is. [read post]
8 Feb 2010, 2:32 pm
The government's warrants for the PNC Financial Services Group, acquired in the banking bailout, may raise $253.3 million for taxpayers if they go up for auction, according to Pluris Valuation Advisors. [read post]
8 Feb 2010, 12:40 pm
I am going to attempt to clear up some of the obscurity, but, as with all information on this blog, it is for informational purposes only, not legal advice; and you should consult your legal and financial advisor to provide you with proper advice for your business. [read post]
7 Feb 2010, 6:37 pm
UB then failed to properly store both transformers, mark the storage areas with the proper labeling, and failed to mark each transformer with the date it was removed from service. [read post]
7 Feb 2010, 2:25 pm
UB then failed to properly store both transformers, mark the storage areas with the proper labeling, and failed to mark each transformer with the date it was removed from service. [read post]
6 Feb 2010, 7:31 am
Some observers have suggested that these changes may eventually extend beyond the financial services industry, particularly in light of the increased focus on the relationship between compensation and risk. [read post]
5 Feb 2010, 11:00 am
Marshals Service as a Deputy U.S. [read post]
4 Feb 2010, 12:21 am
DISTRICT COURTEASTERN DISTRICT OF NEW YORKEmploymentHostile Work Environment, Retaliation Claims Against Financial Firm, President Go ForwardMorris v. [read post]
