Search for: "Financial Advisors Services"
Results 6841 - 6860
of 7,346
Sort by Relevance
|
Sort by Date
29 Oct 2009, 9:05 pm
The Kelowna General Hospital Foundation Advisor's Roundtable will be presenting free financial and estate planning seminar on Thursday, November 5, 2009 from 3:30 pm to 5:00 pm at the Missionwood Retirement Resort, 1075 Barnes Avenue, Kelowna, British Columbia.I will be speaking on powers of attorney and representation agreements.Laurie Bartley, financial planner, of Canaccord Financial Services Ltd. will also be giving a talk. [read post]
29 Oct 2009, 3:22 pm
The fourteen participating firms with their case limits in parentheses are: Ameriprise Financial Services (18), Charles Schwab (10), Chase Investment Services (10), Citigroup Global Markets (60), Edward Jones (18), Fidelity Brokerage Services (10), LPL Financial (10), Merrill Lynch (60), Morgan Stanley Smith Barney (60), Oppenheimer (15), Raymond James (15), TD Ameritrade (10), UBS Financial Services (60), Wells Fargo Advisors… [read post]
28 Oct 2009, 10:28 am
The House Financial Services Committee passed H.R. 3818, the Private Fund Investment Advisers Registration Act, introduced by Congressman Paul E. [read post]
27 Oct 2009, 7:27 pm
Advisors to financial firms must receive government oversight and we must understand the assets of financial firms, including for hedge funds, private equity firms, and other private pools of capital. [read post]
27 Oct 2009, 7:25 pm
(http://www.hedgefundlawblog.com) Private Fund Investment Advisers Registration Act of 2009 (text of act) Below is the final text of the hedge fund registration bill as passed by the House Financial Services Commission. **** 111th CONGRESS 1st Session H. [read post]
27 Oct 2009, 5:30 pm
The proposed guidance is consistent with and largely patterned after the multi-national Financial Stability Board's September 25, 2009 report titled "FSB Principles for Sound Compensation Practices. [read post]
27 Oct 2009, 7:45 am
The Baker case arose out of Goldman's service as a financial advisor to Dragon Systems, Inc. in connection with its ill-fated sale to Lernout & Hauspie Speech Products, a Nasdaq-listed Belgian company that collapsed in the aftermath of an accounting scandal that surfaced shortly after the deal was completed. [read post]
26 Oct 2009, 10:34 am
Cole-Frieman & Beugelmans, LLP is a New York and San Francisco based boutique law firm providing top-tier, responsive and cost-effective legal solutions to companies and individuals in the financial services industry. [read post]
26 Oct 2009, 7:12 am
All potential stakeholders should consult professional advisors to have their positions evaluated. [read post]
26 Oct 2009, 5:38 am
LLC (investment banker and financial advisor) and Loughlin Meghji + Company (crisis managers).In its bankruptcy filing, Capmark listed $20.1 billion in assets against $21.0 billion in liabilities as of June 30, 2009. [read post]
23 Oct 2009, 7:14 am
Michael Lynn made some very telling comments about the integrity of the process with respect to financial advisors demanding guaranteed compensation under [sec] 328: The court erred seriously in entering orders which left it so little discretion in assessing the work of the financial advisors. [read post]
23 Oct 2009, 3:01 am
In considering these issues, Judge Sanchez observed that Galleon, unlike the investment advisors in the other cases, was "closely connected" to the Galleon funds that held the company’s stock. [read post]
22 Oct 2009, 6:02 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]
18 Oct 2009, 2:41 am
Asset Resolution was formed by Silar Advisors, L.P. [read post]
14 Oct 2009, 8:08 am
To accomplish this, FINRA has expanded the program to include cases against the following 14 broker-dealers (from 11 broker-dealers): Chase Investment Services (10 cases); Oppenheimer & Co. (15 cases); Raymond James Financial Services/Raymond James & Associates (10 cases); Citigroup Global Markets (60 cases); Merrill Lynch (60 cases); Morgan Stanley Smith Barney (60 cases); UBS Financial Services (60 cases); Wells Fargo Advisors (60… [read post]
13 Oct 2009, 9:18 am
I think one of the most practical presentations of the conference was by Timothy Kolk, of TRK Advisors, LLC (www.trkadvisors.com). [read post]
12 Oct 2009, 1:42 pm
Professionals providing services to public corporations will demand compensation for bearing the risks of liability. [read post]
12 Oct 2009, 10:00 am
When a borrower gets into financial problems, most banks transfer the credit into the workout department, often known as Special Assets or Loan Adjustment. [read post]
10 Oct 2009, 7:32 am
I was surprised this week to receive an email from a financial advisor with whom I have had a long term relationship, and who I believe is an exceptional financial advisor, and has the credentials and industry recognition to establish him as one of the best. [read post]
10 Oct 2009, 2:45 am
In addition, neither the plan nor a party-in-interest with respect to the plan may have any control or significant financial interest, whether direct or indirect, in the surety, or reinsurer, or in an agent or broker through which the bond is obtained. [read post]
