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26 May 2015, 11:32 am
Additionally, FINRA alleged that from January 2007 through August 2014, LPL failed to properly supervise and properly disclose the fees associated with mutual fund switching or the sale of Class C Mutual Funds shares by setting its internal suitability threshold triggering review of the transaction too high to be effective. [read post]
25 May 2015, 4:45 pm
The claimants argued that the fiduciaries had acted imprudently by selecting the six retail-class mutual funds when lower cost institutional-class mutual funds were available. [read post]
25 May 2015, 1:29 pm
A long and rather rambly post about allegations of sexual assault and rape in the context of family proceedings – I have written it in two sittings and have struggled with it greatly, not least as a result of a horrible head cold descending and clouding my thinking. [read post]
25 May 2015, 6:07 am
It rescinds the contract by mutual agreement. 2. [read post]
25 May 2015, 5:02 am
For example, the Federal Rules of Civil Procedure (FRCP) that govern civil litigation in United States courts provide that a civil action is commenced with the filing or service of a pleading called a complaint. [read post]
24 May 2015, 1:42 pm
In the words of Bacon’s Abridgment (1736), Fornication and all other Lusts are unlawful, because Children are begotten without any Care or Preparation for their Education; and the Crime of Adultery receives this further Aggravation, that it not only intails a spurious Race [here, meaning offspring and their descendants -EV on the Party, for whom he is under no Obligation to provide, but likewise destroys that Peace and mutual Endearment which ought always to subsist in the… [read post]
24 May 2015, 10:30 am
[M]ost real world interactions are... complicated, where players’ interests are not directly opposed, and there are opportunities for mutual gain. [read post]
24 May 2015, 7:15 am
The style of the case is, Colonial County Mutual Insurance Company v. [read post]
24 May 2015, 5:50 am
Discovery is carried out by sending requests to the opposing party asking the opponent to provide answers to questions, documents, or other evidence or information that might lead to the discovery of evidence. [read post]
22 May 2015, 8:02 pm
Unfortunately, in many cases, the high sales commission may provide some brokers with enough incentive to make unsuitable investment recommendations. [read post]
22 May 2015, 7:56 pm
Unfortunately, in many cases, the high sales commission may provide some brokers with enough incentive to make unsuitable investment recommendations. [read post]
22 May 2015, 7:48 pm
Unfortunately, in many cases, the high sales commission may provide some brokers with enough incentive to make unsuitable investment recommendations. [read post]
22 May 2015, 7:41 pm
Unfortunately, in many cases, the high sales commission may provide some brokers with enough incentive to make unsuitable investment recommendations. [read post]
22 May 2015, 7:33 pm
Unfortunately, in many cases, the high sales commission may provide some brokers with enough incentive to make unsuitable investment recommendations. [read post]
22 May 2015, 7:25 pm
Unfortunately, in many cases, the high sales commission may provide some brokers with enough incentive to make unsuitable investment recommendations. [read post]
22 May 2015, 7:17 pm
Unfortunately, in many cases, the high sales commission may provide some brokers with enough incentive to make unsuitable investment recommendations. [read post]
22 May 2015, 6:10 am
Obviously recognizing that the “devil is in the details,” by declining to provide guidance or guidelines, the Court in Tibble simply left it for the lower courts to examine – on their own – the details, and identify the devils. [read post]
21 May 2015, 8:09 am
Under the proposal, mutual funds and other registered investment companies would have the option of providing shareholder reports and the past year’s quarterly portfolio holdings on their websites. [read post]
20 May 2015, 4:21 pm
The proposals would also require enhanced and standardized disclosures in financial statements, and would permit mutual funds and other investment companies to provide shareholder reports by making them accessible on a website. [read post]
20 May 2015, 10:30 am
(Large investors often can receive institutional class shares of mutual funds with lower management fees than what is available on the retail market for investors like you and I.) [read post]
