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21 Apr 2023, 6:30 am
Guidance on Effective Board Oversight Posted by Holly Fetter and Benjamin Colton, State Street Global Advisors, on Friday, April 14, 2023 Tags: Board of Directors, Board oversight, disclosures, effective leadership, oversight process, Proxy voting, strategy Anticipated Impacts of Selected EU Legislative Initiatives on General Meeting Agendas Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Saturday, April 15, 2023 Tags: Board of Directors, ESG, EU,… [read post]
4 Mar 2009, 1:39 pm
, No. 2129-VCN (Feb. 27, 2009), the Chancery Court granted summary judgment in a case involving a dispute about the payment of a $20 million fee for a financial advisor to a merger deal. [read post]
25 May 2019, 9:42 am
SEC Bars Robert Kenneth Lindell Jr. after Reported Criminal Conviction Have you suffered losses investing with former financial advisor Robert Kenneth Lindell? [read post]
20 Jun 2011, 3:18 pm
This program will help in-house counsel, as well as outside advisors, to stop the key issues to avoid potential pitfalls down the road. [read post]
20 May 2012, 7:11 am
House Committee on Financial Services, which is available (including footnotes) here. [read post]
IOSCO thematic review on suitability requirements for the distribution of complex financial products
27 Sep 2019, 4:18 am
Additionally, new suitability-related challenges have appeared with the advance of FinTech developments in respect of digital advisors and online platforms. [read post]
21 Nov 2019, 10:27 am
And, earlier this month, she was awarded the Distinguished Service Award from the American Agricultural Law Association (AALA). [read post]
15 Jan 2018, 9:55 am
Kevin Wanner Reportedly Reaches Plea Agreement According to reports, Woodbury Financial Services Inc., of Oakdale, Minnesota has agreed to pay back money to victims of an investment fraud scheme allegedly operated by Kevin Wanner of Bismark, ND. [read post]
4 Mar 2020, 6:16 am
Wells Fargo Advisors Financial Network and Wells Fargo Clearing Services recently agreed to pay $35M to settle US Securities and Exchange Commission (SEC) claims. [read post]
17 Sep 2010, 12:10 pm
The law calls on the agencies to coordinate with respect to rulemaking where there is an overlap of authority.Within the FTC Bureau of Consumer Protection, the Division of Financial Practices currently regulates the marketing of certain financial products as well as the provision of debt collection and relief services. [read post]
3 Jan 2012, 4:26 pm
Gibbs has been named the first Director of the SEC’s Office of Minority and Women Inclusion, which was mandated by the Dodd-Frank Act so that the federal financial regulators would each establish an office devoted to workforce diversity, the use of minority and women-owned service providers, and the assessment of the diversity policies and practices of the businesses each regulates. [read post]
28 Aug 2018, 11:20 am
M & T Securities, Inc Vincent Canzoneri Sigma Financial Corporation Ameriprise Financial Services, Inc Barry Connell Morgan Stanley UBS Financial Services Inc Charles Cox Wells Fargo Advisors, LLC Chase investment Services Corp Shane Dawkins Westpark Capital Joseph Stone Capital LLC Mark Flanagan Citigroup Global Markets Inc… [read post]
25 Nov 2021, 8:56 pm
This briefing will be of interest to financial sponsors, corporate finance advisors, in-house transactional legal teams and those working within the financial services industry generally. [read post]
24 Nov 2021, 6:56 am
This briefing will be of interest to financial sponsors, corporate finance advisors, in-house transactional legal teams and those working within the financial services industry generally. [read post]
12 May 2010, 6:35 am
The Wall Street Journal is reporting that two financial advisers have been ordered to pay nearly $1.9 million to the advisers' former employer, Chicago-based Mesirow Financial Holdings, Inc., and two of its divisions that alleged breach of contract and theft of trade secrets.The award by an arbitration panel of the Financial Industry Regulatory Authority included a rare dissent by the three-person panel's chairman. [read post]
10 Oct 2022, 1:07 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Kirk Badii (Badii) has at least eight disclosable events. [read post]
22 Jul 2024, 3:30 am
Her journey from financial services to DEIB leadership highlights her commitment to creating equitable environments. [read post]
22 Jul 2024, 3:30 am
Her journey from financial services to DEIB leadership highlights her commitment to creating equitable environments. [read post]
8 Feb 2012, 4:00 am
For example, FA News reported this week on a criminal case involving a financial advisor who apparently took advantage of a client who had cerebral palsy. [read post]
9 Apr 2020, 2:00 am
Did you utilize legal services when setting up your employee loan program? [read post]
