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12 Apr 2016, 3:50 pm
Investment Advice Covered By The Rule The final rule applies to “covered investment advice. [read post]
3 Aug 2010, 6:30 am
She most recently worked at AllianceBernstein, a global investment firm with more than $450 billion in client assets, where she last served within the firm's Blend Strategies Group as Chief Investment Officer with responsibility for the firm's Multi-Asset and Blend Equity Portfolios. [read post]
21 May 2012, 7:06 am
The indictment alleges that Spangler stole $47.7 million of his clients' money and invested it in two technology companies the he or his firm, The Spangler Group, Inc., owned. [read post]
25 Sep 2014, 12:38 pm
This case is the result of an investigation conducted by the Federal Bureau of Investigation. [read post]
12 Nov 2019, 5:15 am
In March the criminal investigation was reportedly turned over to the Federal Bureau of Investigation. [read post]
9 Oct 2007, 9:17 am
Capital Gains Research Bureau, 375 U.S. 180 (1963). [read post]
18 Jul 2017, 2:26 pm
— The Consumer Financial Protection Bureau (CFPB) today announced a new rule to ban companies from using mandatory arbitration clauses to deny groups of people their day in court. [read post]
26 Oct 2011, 6:04 am
Her insights on these and other matters appear in the Bureau of National Affairs, Spencer Publications, the Wall Street Journal, the Dallas Business Journal, the Houston Business Journal, Modern and many other national and local publications. [read post]
13 Mar 2012, 1:02 pm
Oftentimes, life settlement and viatical contracts are peddled through various networks, including affinity groups, faith-based groups and ministries, improperly-supervised insurance agents, and sketchy brokers, oftentimes being sold off the books through what is known as “selling away. [read post]
17 Apr 2012, 10:05 pm
Her insights on these and other matters appear in the Bureau of National Affairs, Spencer Publications, the Wall Street Journal, the Dallas Business Journal, the Houston Business Journal, Modern and many other national and local publications. [read post]
20 Sep 2010, 9:40 pm
Current Chair of the American Bar Association (ABA) RPTE Employee Benefit & Other Compensation Group, a Council Member of the ABA Joint Committee on Employee Benefits and Past Chair of the ABA Health Law Section Managed Care & Insurance Interest Group, Ms. [read post]
22 Dec 2014, 10:10 am
Vogt of the Federal Bureau of Investigation; and Special Agent in Charge Thomas J. [read post]
17 Dec 2015, 1:53 pm
According to Investment News, Jeff Spill, deputy director of the New Hampshire Bureau of Securities Regulation said, “The firm could avoid these cases by reviewing its sales when first initiated and taking the appropriate data from the customer to appropriately assess the risk tolerance and suitability of the investments. [read post]
22 Dec 2009, 12:15 am
As the FAW Group-holding company uniquely specializing in automotive software development in China, Qiming Chunrong Company, in addition to providing services in line with the strategic development plan of FAW Group in Chengdu, will explore more adequately the 100-billion yuan auto industry market of the city. 7. [read post]
5 Mar 2021, 2:00 am
Increased investment and attention to mental health issues makes good business sense. [read post]
19 Mar 2015, 12:42 pm
Monahan and M.H. convinced Bolivar Investors Group, L.L.C., an investment group organized by members of the Crescent River Port Pilots Association, to invest the money. [read post]
22 Mar 2018, 6:55 pm
“When we lower the rates for workers’ compensation insurance, we protect workers and allow businesses to invest in higher wages and growth. [read post]
1 Aug 2009, 4:48 am
By then, the TG Group's total industrial investment in Qingbaijiang district will reach 440 million US dollars. [read post]
14 Jan 2013, 2:31 pm
“There’s going to be a client need that I hope we can satisfy with this foundation of the Bennett Jones group. [read post]
21 Jul 2020, 12:19 pm
At the same time, the New Hampshire Bureau of Securities Regulation reportedly settled with Next Financial hitting Next Financial with a fine of $235,000 and costs of $90,000 for purportedly failing to reasonably supervise the sale of certain alternative investments to a number of clients, including unsuitable sales of non-traded REITs. [read post]
