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12 May 2015, 7:09 am by Adam Weinstein
Turner & Company, LLC (JP Turner) – with fines of $425,000, $175,000 and $100,000, respectively concerning inadequate supervision of consolidated reports provided to customers. [read post]
12 Jul 2006, 4:46 pm
The expanded use of ETF's provides some mechanisms for getting around the wash sale rules for investors in sector or index mutual funds. [read post]
A mutual friend put him in touch with Marvel about an opportunity to create character themes for the Marvel super heroes program. [read post]
7 Sep 2019, 7:27 am
Suggested Tax Reforms Will Not Change Mutual Funds into Worker Advocates Leo E. [read post]
22 Jul 2010, 1:14 pm by Dick Price
In Texas, our Family Code provides standard language for restraining orders that can be requested and served on parties at the beginning of a divorce. [read post]
21 Dec 2023, 8:49 am by Simon Lovegrove (UK)
The Berne Financial Services Agreement provides an institutional framework for cooperation and development of the UK’s financial services relationship with Switzerland. [read post]
25 Sep 2009, 5:20 am by <ADMINNICENAME>
Airlines provide supervision for unaccompanied minors for a nominal fee. 6. [read post]
30 May 2010, 9:14 am by Allan
By knowing our interests, the interests of those of the people that we communicate with, and the alternatives available, we are able to work towards the achievement of mutual goals. [read post]
5 Sep 2012, 3:56 pm by James Hamilton
The SEC has asked the US Supreme Court to deny certiorari in a case involving applications of a limitations period to an SEC enforcement action on the market timing of mutual funds. [read post]
22 Mar 2012, 2:26 pm
Mother's Will provided that Son was to receive the real estate owned by Mother, and that the Siblings were to receive the rest of her monetary assets. [read post]
8 Dec 2014, 5:59 am by Adam Weinstein
Maybe dozens of trades are being made every month or an account previously invested in plain vanilla mutual funds is now loaded up with speculative penny stocks and private placements. [read post]
10 Feb 2023, 11:12 am by Wieand Law Firm
Being clear-minded about knowing these needs and when going into the negotiation can provide a clearer forward for how your lawyer can legally help you. [read post]
20 Mar 2014, 6:53 am by Barbara S. Mishkin
  The plaintiff did not allege that the bank had failed to provide the required on-screen notice of the ATM fee before he completed the transaction for which the ATM fee was charged. [read post]
31 Mar 2010, 7:32 am by Stephen D. Rosenberg
Isn’t the test that the Supreme Court references for the investment advisor context equally a good fit for ERISA excessive fee cases, by asking not whether the fees were consistent with the market as a whole but instead whether the fees are disproportionate to the services provided and whether the evidence reflects them to be the product of an arms length negotiation? [read post]