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Pa. Supreme Court Holds No Fiduciary Duty Created By Purchase of Insurance From Ameriprise Financial
2 Aug 2017, 6:41 am
Yenchi sued Ameriprise, American Express Financial Services Corporation, American Express Financial Advisors Corporation, IDS Life Insurance Company, and an agent, Holland, after having their purchases independently reviewed. [read post]
1 Oct 2020, 12:06 pm
Financial professionals who rely on any provision of the emergency notice must keep a copy of the notice and the Secretary’s order in their records to document their reliance on it. [read post]
26 Jan 2015, 8:24 am
FINRA found that Sigma Financial’s reliance upon BD OPS to remotely conduct all of the supervisory and compliance functions for Sigma Financial’s independent contractors and branch offices was not reasonable. [read post]
10 Feb 2012, 12:10 pm
Executive Pay", was issued by ISS, a provider of corporate governance solutions to the global financial community, including executive pay consulting services. [read post]
16 Mar 2023, 9:05 pm
In its November 2022 update to the G20, the FSB itself has noted: [T]he structure of core wholesale funding markets continues to be characterized by limited standardization, low levels of automated trading and turnover even in normal times, and heavy reliance on dealer intermediation. [read post]
8 Dec 2021, 4:00 pm
The Court’s decision highlights that contractual disclaimers of reliance on specific representations may in some instances preclude a subsequent claim for fraud at the pleading stage. [read post]
18 Jun 2012, 9:53 am
Pennington, Chair of the BoltNagi PC's Real Estate & Financial Services Practice Group served as counsel to Reliance Housing Foundation in the transaction.The contractor, GEC, will be entering the area for staging within the next week, and will start with the trimming of trees (not cutting down) before heavy equipment is brought in. [read post]
4 Jan 2023, 5:06 pm
On December 13, 2022, the Staff of the Division of Corporation Finance of the U.S. [read post]
6 Jul 2018, 7:17 am
The district judge overruled defendants' objection to the magistrate judge's order denying defendants' motion to compel the production of documents regarding plaintiff's financial relationship with its subsidiary. [read post]
8 Feb 2013, 6:24 am
We argue that greater transparency in the industrial sector facilitates firms’ access to financing from capital markets and thus diminishes their reliance on banks. [read post]
6 Aug 2018, 8:38 pm
Second, original sources proved to be a better source for generating discussion and forcing analysis, than heavier reliance on secondary materials. [read post]
5 Nov 2009, 11:10 am
House Financial Services Committee Passes Legislation Reforming SEC, PCAOB and SIPC OversightThe House Financial Services Committee has passed legislation reforming the SEC to strengthen its powers, better protect investors, and efficiently and effectively regulate the securities markets. [read post]
30 Dec 2013, 6:33 am
Isaacs (Issacs) of Investors Capital Corporation (ICC) was recently suspended and sanctioned by The Financial Industry Regulatory Authority (FINRA) over allegations that Isaacs made negligent material misrepresentations of fact in connection with the unsuitable sale of two private placements to ICC customers. [read post]
30 May 2019, 4:00 am
Other types of property taxes include estate, inheritance, and gift taxes, net wealth taxes, and taxes on financial and capital transactions. [read post]
3 May 2019, 4:04 pm
In addition, increasing investor reliance on financial intermediaries could affect how accounting and audit information serves investors, he explained; informed decision-making relies on high-quality, comparable financial information and other metrics, according to Bricker. [read post]
27 Sep 2011, 2:51 pm
” In Europe, the High-Level Group on Financial Supervision in the EU concluded that financial institution corporate governance was “one of the most important failures” in the crisis. [read post]
11 Sep 2023, 4:15 pm
Notethat if directors have information that contradicts the information provided by a third party advisor, reliance on the third party’s statements may be considered unreasonable. [read post]
22 Mar 2007, 5:08 am
The common feature of these transactions is that they allowed Enron to misstate its financial condition; there is no allegation that the banks were fiduciaries of the plaintiffs, that they improperly filed financial reports on Enron’s behalf, or that they engaged in wash sales or other manipulative activities directly in the market for Enron securities. [read post]
12 Oct 2018, 3:00 am
– 83% of companies carefully monitor proxy advisors’ recommendations for accuracy or reliance on outdated information. [read post]
15 Nov 2012, 12:19 am
” They must, Sparks noted, “ensure the issuer files accurate financial statements. [read post]
