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9 Oct 2009, 5:58 am
Andrea Unterberger Assistant General Counsel, Corporation Service Company Director, CSC Media John C. [read post]
9 Oct 2009, 1:51 am
While the Fund of Funds was not making any investment, they did ask to be sent performance numbers each month directly from Strategic and have audited financial statements sent as soon as available. [read post]
8 Oct 2009, 5:01 am
In 1991, the financial managers of Harris Associates (“Harris”) founded Oakmark funds. [read post]
8 Oct 2009, 2:54 am
I had the distinct pleasure of talking with a number of people at the event, including: Jenny West of Probitas Partners (fund placement services) Mason Snyder of Catalina Partners (risk advisory to investment management industry) Rosemary Fanelli of CounselWorks (regulatory consulting for financial institutions) Ron Resnick of CounselWorks(regulatory consulting for financial institutions) Maria Hall of M.D. [read post]
6 Oct 2009, 8:26 am
Because those arbitration panels and policies have proven unfair to consumers, "mandatory arbitration clauses should be banned without delay and investors should have the right to choose between litigation or arbitration as the forum for resolving disputes with their financial services firms, " Ms. [read post]
5 Oct 2009, 5:04 pm
The brokerage firms who have agreed to participate in the pilot program are: Ameriprise Financial Services Charles Schwab Chase Investment Services Citigroup Global Markets Edward Jones Fidelity Brokerage Services LPL Financial Merrill Lynch Morgan Stanley Smith Barney Oppenheimer Raymond James TD Ameritrade UBS Financial Services Wells Fargo Advisors / Wachovia Securities Each of the above firms has committed to participate… [read post]
4 Oct 2009, 1:14 pm
Kanjorski, the Chairman of the House Financial Services Subcommittee on Capital Markets, Insurnace and Government Sponsored Enterprises. [read post]
30 Sep 2009, 12:26 pm
Please seek the advice or counsel of your attorney, financial advisor or CPA as it may be appropriate. [read post]
29 Sep 2009, 7:54 am
All potential stakeholders should consult professional advisors promptly to have their positions evaluated. [read post]
28 Sep 2009, 1:00 pm
The JMBM Special Assets Team represents clients' financial interests that are put at risk by failing vehicle, farm implement and marine dealerships. [read post]
25 Sep 2009, 2:54 pm
Topics covered on the blog include corporate governance, financial crisis and securities litigation. [read post]
25 Sep 2009, 10:34 am
When Ownership is Challenged For a collector who has acquired a work of art, having the right to ownership disputed can come as both an emotional and financial shock. [read post]
25 Sep 2009, 10:10 am
Look for a lawyer who has a membership program or ongoing service program so you can reach out to your lawyer on an ongoing basis for legal, financial and business consultation without worrying about being nickled and dimed. [read post]
25 Sep 2009, 8:34 am
When Ownership is Challenged For a collector who has acquired a work of art, having the right to ownership disputed can come as both an emotional and financial shock. [read post]
24 Sep 2009, 6:00 am
I have a trusted group of insurance agents, financial advisors, real estate brokers, and attorneys practicing in other fields of law to whom I can refer you. [read post]
24 Sep 2009, 5:20 am
Please seek the advice or counsel of your attorney, financial advisor or CPA as it may be appropriate. [read post]
23 Sep 2009, 7:15 am
The fallout - both financial and legal - from these types of retirement plans continues. [read post]
23 Sep 2009, 7:15 am
The fallout - both financial and legal - from these types of retirement plans continues. [read post]
23 Sep 2009, 4:00 am
I met James at a Compliance Week round table last week discussing risk management and regulatory developments for the financial services industry. [read post]
23 Sep 2009, 12:27 am
Indeed, the complaint itself states that RJFS’s agents, the financial advisors who allegedly made the misrepresentations to investors, "lacked a rudimentary understanding about the auction rate securities and how the auction rate securities market functioned. [read post]
