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11 Jan 2013, 2:49 pm
Board Certified in Labor & Employment Law by the Texas Board of Legal Specialization, a member of the Editorial Advisory Board and expert panels of HR.com, Employee Benefit News, InsuranceThoughtLeadership.com, and Solutions Law Press, Inc., management attorney and consultant Ms. [read post]
10 Jan 2013, 1:21 pm
Employers and other self-insured group health plan sponsors and health insurers, adjust your budgets and prepare to open up your wallets to pay additional fees mandated by the Patient Protection and Affordable Care Act (“PPACA”). [read post]
8 Jan 2013, 6:31 am
Graves operated his own investment advisory firm he was also registered with several FINRA registered broker-dealers and operated his advisory firm under these firms’ umbrella. [read post]
3 Jan 2013, 12:46 pm
For more information on HIPAA compliance and risk management tips, see here. [read post]
1 Jan 2013, 2:56 pm
Blackstone is a global investment management and financial advisory firm. [read post]
27 Dec 2012, 4:35 am
” The judgement shows that owners, operators and managers of businesses that exercise discretion and control over the funding, investment or administration of employee benefit plans or their assets face significant liability for failing to properly fulfill their responsibilities with respect to their employee benefit plans. [read post]
Peter Madoff 10 Sentence For Defrauding ERISA Plans Reminder Manage Plan Investment Responsibilities
27 Dec 2012, 3:45 am
Securities and Exchange Commission (“SEC”) that materially misstated the nature and scope of BLMIS’s Investment Advisory (“IA”) business. [read post]
26 Dec 2012, 5:40 pm
Stamer A Fellow in the American College of Employee Benefit Council, immediate past Chair of the American Bar Association (ABA) RPTE Employee Benefits & Other Compensation Group and current Co-Chair of its Welfare Benefit Committee, Vice-Chair of the ABA TIPS Employee Benefits Committee, 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]
19 Dec 2012, 11:45 am
The Securities and Exchange Commission recently charged two investment advisory firms and two portfolio managers for their roles in the allleged failure to adequately inform investors about the fund’s risky derivative strategies that contributed to its collapse during the financial crisis. [read post]
28 Nov 2012, 4:51 pm
In addition, companies sponsoring defined benefit plans govered by the PBGC insurance program and/or the Internal Revenue Code and Employee Retirement Income Security Act’s minimum funding rules or entities that are part of commonly controlled or affiliated groups of companies, purchasing stock or assets from such company groups or lending to or investing in such entities should evaluate the funding status of these programs and… [read post]
25 Nov 2012, 9:14 pm
The case doesn’t reveal EM Capital or its advisory business to be a fraud. [read post]
25 Nov 2012, 10:14 am
The Securities and Exchange Commission (the “SEC”) recently sanctioned an investment advisory firm for impeding examinations conducted by SEC staff. [read post]
25 Nov 2012, 10:12 am
The Securities and Exchange Commission (the “SEC”) recently sanctioned an investment advisory firm for impeding examinations conducted by SEC staff. [read post]
6 Nov 2012, 1:27 am
Investors in various mutual funds managed by Principal Financial Group filed a derivative action under Section 36(b) of the Investment Company Act of 1940 in Iowa federal court in late October, alleging that the company charged excessive fees. [read post]
31 Oct 2012, 12:28 pm
, Wetherby Asset Management, Evanson Asset Management, LLC, Capital Investment Counsel, Inc. [read post]
31 Oct 2012, 12:28 pm
, Wetherby Asset Management, Evanson Asset Management, LLC, Capital Investment Counsel, Inc. [read post]
25 Sep 2012, 10:11 am
They have an OUTSIDE advisory board. [read post]
11 Sep 2012, 1:36 am
In the TJX case, the retail group reported that 45.6 million credit and debit card numbers were stolen from one of its systems during the period July 2005 to January 2007. [read post]
7 Sep 2012, 2:48 pm
This guest post from the Margolis Advisory Group, co-authored by River Communications, is reprinted with permission. [read post]
7 Sep 2012, 6:23 am
She brought to HDC an extensive investment banking background in housing finance, loan securitization, and structuring innovative financing strategies. [read post]
