Fri. November 20, 2009
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Minneapolis Star Tribune
November 20, 2009
... history though it pales by comparison to the scheme orchestrated by
Bernard Madoff, an New York
investment adviser now serving a 150-year prison term. ...
Richmond Times Dispatch
November 20, 2009
InvestmentNews
November 20, 2009
... decision yesterday to scrap a
Bush administration rule that would have allowed
investment advisers to provide advice to 401(k) plan participants. ...
Mondaq News Alerts (registration)
November 20, 2009
... investment advisers have a fiduciary duty with respect to compensation for services. Although investment-adviser compensation must be approved by a ...
Trading Markets (press release)
November 20, 2009
The Order bars Eichengreen from associating with any investment adviser pursuant to Section 203(f) of the Advisers Act. The Commission brought the ...
Blockshopper
November 20, 2009
Abhay P. Deshpande and Meg Deshpande sold a five-bedroom, three-bath home at 311 Lyncroft Road in New Rochelle to ...
Mondaq News Alerts (registration)
November 19, 2009
Such investment advisers may be required to register with one or more state securities regulators. Family Office Of The investment adviser: The PFIARA would ...
Crain's Chicago Business
November 19, 2009
LLC must pay a 90-year-old Inverness widow $1.17 million for losses she sustained when two former investment advisers took liberties with her account. ...
Trading Markets (press release)
November 19, 2009
Pentony Enterprises is not a registered
investment adviser or a
broker/dealer. Pentony Enterprises LLC makes no recommendation that the purchase of ...
Local Tech Wire
November 19, 2009
Reuters and Bloomberg reported that
Nokia Siemens Networks teamed up with
investment adviser One Equity Capital to get a bidding paddle, though Nortel ...
Global Money Management
November 19, 2009
North Yorkshire County Council has issued tenders for an independent investment adviser and an investment consultant to its GBP1.2 billion pension fund. ...
WELT ONLINE
November 19, 2009
StanCorp Equities, Inc., Standard Insurance Company, Standard Retirement Services, Inc., and StanCorp investment advisers, Inc. are subsidiaries of StanCorp ...
Money Marketing
November 19, 2009
Openwork is taking 1200 pension and investment advisers off the road as part of a multi-million-pound upgrade of its advice process for the RDR. ...
MarketWatch
November 19, 2009
BOSTON (MarketWatch) -- Simon Property Group Inc. (
NYSE:SPG) has hired
investment adviser Lazard Ltd. and law firm Wachtell, Lipton, Rosen & Katz to explore ...
Wall-Street
November 18, 2009
Capital Research and Management Company, the advisory arm of US-based Capital Companies, is now holding more than 5% of Erste Group shares (ticker: EBS), ...
Mondaq News Alerts (registration)
November 17, 2009
... responsibility of investment adviser regulation. The Advisers Act currently reserves for the states the responsibility of regulating investment advisers ...
The Gazette (Montreal)
November 16, 2009
How ready are you for retirement? Do you have a clue?
stock market keeping you up nights? Are there ways to stay off the roller coaster? ...
Wall Street Journal (blog)
November 11, 2009
AP The
investment adviser Association supports a financial-service reform proposal by Sen.
Christopher Dodd (D., Conn. ...
The Tennessean
November 10, 2009
A Franklin man has been charged with wire fraud for his alleged involvement in a scheme to defraud
investors who deposited more than $11 million with JC ...
New York Times
November 6, 2009
They allege that fees were so high they violated the federal Investment Company Act, which is supposed to combat excessive investment adviser
TheChronicleHerald.ca
November 6, 2009
A Halifax investment adviser
Wall Street Journal (blog)
November 6, 2009
Advisers affiliated with Securities and Exchange- or state-regulated registered investment advisers
Sarasota Herald-Tribune
November 4, 2009
Vollmer had to apply for a new registration to be licensed as a
broker and
investment adviser
New York Times
November 3, 2009
The Supreme Court on
Monday appeared reluctant to allow
judges to take on a major role in policing the compensation of
mutual fund investment advisers
Akron Beacon Journal
November 3, 2009
A prominent Cuyahoga Falls investment adviser
Several Supreme Court justices on
Monday seemed reluctant to make the courts arbiters of whether
mutual fund investment advisers are ...
Do you have a question about your savings or investments? Each month we'll be asking for your questions on a specific financial topic, this month our ...
Several Supreme Court justices on
Monday seemed reluctant to make the courts arbiters of whether
mutual fund investment advisers are ...
Several Supreme Court justices on
Monday seemed reluctant to make the courts arbiters of whether
mutual fund investment advisers are ...
Do you have a question about your savings or investments? Each month we'll be asking for your questions on a specific financial topic, this month our ...
Washington Post
November 2, 2009
Several Supreme Court justices on
Monday seemed reluctant to make the courts arbiters of whether
mutual fund investment advisers
BBC News
November 2, 2009
Do you have a question about your savings or investments? Each month we'll be asking for your questions on a specific financial topic, this month our ...
Several Supreme Court justices on
Monday seemed reluctant to make the courts arbiters of whether
mutual fund investment advisers are ...
Derivatives Week
October 26, 2009
... former head of trading at credit manager Credaris, together with Joe Vittoria and
Christian Evans--will serve as
investment adviser to the new fund. ...
Reuters
October 26, 2009
... LLC ("Artio
global"), a registered
investment adviser headquartered in
New York City that actively invests in global equity and fixed income
markets, ...
Credit Union Times
October 26, 2009
... advisers changing firms but also because of heavy outflows from the major wire houses and into registered investment advisers and independents. ...
Reuters
October 26, 2009
Zacks Investment Research is under common control with affiliated entities (including a
broker-dealer and an
investment adviser), which may engage in ...
WSFA
October 26, 2009
Contact the ASC with inquiries concerning
securities broker-dealers, agents,
investment advisers,
investment adviser representatives, financial planners, ...
Reuters
October 26, 2009
Dividend.com (blog)
October 26, 2009
... definition of "investment adviser" as provided under Section 202(a)(11) of the investment advisers Act of 1940 and corresponding state securities laws.
