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9 Dec 2021, 12:12 pm
Our attorneys can help you determine whether securities mediation is an effective way to resolve disputes between investors and brokerage firms and their financial advisors. [read post]
26 Dec 2024, 7:51 am
High-profile settlements included nearly $393 million in penalties against firms like Ameriprise, Edward Jones, and LPL Financial for failing to monitor advisors’ off-channel communications. [read post]
27 Apr 2012, 4:01 pm
D058531): Plaintiff brought churning claims against four financial advisors and two insurance companies, who sought binding arbitration under agreement only the advisors had signed. [read post]
11 Oct 2007, 5:32 am
You must complete the Enrollment Checklist and Request document prior to meeting with your advisor. [read post]
29 Oct 2007, 10:53 am
Also, more venues to publish means that the insularity and heavy-hitter problems that occur at the top reviews will be mitigated by having more forums for more topics. [read post]
23 Mar 2012, 2:04 pm
John was also an important advisor to the White House and a close and effective advisor and friend to Attorney General Eric Holder. [read post]
26 Jan 2023, 6:52 am
The SEC’s complaint alleges that Liddle, while acting as an investment advisor, made misrepresentations to clients, many of whom were seniors. [read post]
8 Apr 2024, 7:49 am
Because this is one of my go-to talking points when I meet with boards, I was particularly pleased to see the recent post on the Harvard Law School Forum on Corporate Governance blog written by Leo E. [read post]
9 Oct 2009, 5:58 am
The Program on Corporate Governance will be issuing a transcript of the Roundtable's proceedings later on; a link to the transcript will be posted on the Forum. [read post]
24 Feb 2025, 6:30 am
Firms that fail to supervise their advisors, can be held responsible for investment losses in a Financial Industry Regulatory Authority (FINRA) lawsuit. [read post]
12 Jul 2024, 6:31 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, July 12, 2024 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of July 5-11, 2024 Disney’s Victory in 2024 Proxy Contest: Lessons for Boards and Practitioners Posted by Martha McGarry, Andrew Noreuil, and Camila Panama, Mayer Brown LLP, on Friday, July 5, 2024 Tags: Board of Directors, Disney, Proxy Contest, Universal Proxy Trends and… [read post]
13 Jul 2018, 6:19 am
Posted by Harvard Law School Forum on Corporate Governance & Financial Regulation, on Friday, July 13, 2018 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of July 6-12, 2018. [read post]
28 Jun 2024, 6:30 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, June 28, 2024 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of June 21-27, 2024 Vice Capital Posted by Andrew Jennings (Emory University) and Kimberly D. [read post]
28 Jun 2024, 6:30 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, June 28, 2024 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of June 21-27, 2024 Vice Capital Posted by Andrew Jennings (Emory University) and Kimberly D. [read post]
28 Jul 2017, 6:00 am
Posted by HLS Forum on Corporate Governance and Financial Regulation, on Friday, July 28, 2017 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of July 21–27, 2017. [read post]
4 May 2018, 6:01 am
Posted by Harvard Law School Forum on Corporate Governance & Financial Regulation, on Friday, May 4, 2018 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of April 27-May 3, 2018. [read post]
30 Apr 2021, 5:55 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, April 30, 2021 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of April 23–29, 2021. [read post]
1 Jul 2014, 3:00 am
Fund Acctg., Operations & Compliance Forum Location: New York, NY Date: July 30, 2014 Sponsor: Hedge Funds Care – Help for Children Event: New York Young Professionals Summer Event Location: New York, NY Date: July 31-Aug 1, 2014 Sponsor: Financial Advisor Event: Alternative Investments Strategies Location: Denver, CO **** Cole -Frieman & Mallon provides legal services for hedge fund managers and other groups within the investment management… [read post]
13 May 2016, 6:13 am
Posted by HLS Forum on Corporate Governance and Financial Regulation, on Friday, May 13, 2016 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of May 6–May 12, 2016. [read post]
30 Dec 2016, 6:09 am
Posted by HLS Forum on Corporate Governance and Financial Regulation, on Friday, December 30, 2016 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of December 22–December 29, 2016. [read post]
