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Fri. November 20, 2009

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... 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. ...
The Securities and Exchange Commission must tighten its process for deciding which investment advisers to inspect if it is to avoid colossal breakdowns such ...
... decision yesterday to scrap a Bush administration rule that would have allowed investment advisers to provide advice to 401(k) plan participants. ...
... investment advisers have a fiduciary duty with respect to compensation for services. Although investment-adviser compensation must be approved by a ...

The Order bars Eichengreen from associating with any investment adviser pursuant to Section 203(f) of the Advisers Act. The Commission brought the ...
Abhay P. Deshpande and Meg Deshpande sold a five-bedroom, three-bath home at 311 Lyncroft Road in New Rochelle to ...
Such investment advisers may be required to register with one or more state securities regulators. Family Office Of The investment adviser: The PFIARA would ...
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. ...
Pentony Enterprises is not a registered investment adviser or a broker/dealer. Pentony Enterprises LLC makes no recommendation that the purchase of ...
Reuters and Bloomberg reported that Nokia Siemens Networks teamed up with investment adviser One Equity Capital to get a bidding paddle, though Nortel ...
North Yorkshire County Council has issued tenders for an independent investment adviser and an investment consultant to its GBP1.2 billion pension fund. ...
StanCorp Equities, Inc., Standard Insurance Company, Standard Retirement Services, Inc., and StanCorp investment advisers, Inc. are subsidiaries of StanCorp ...
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. ...
BOSTON (MarketWatch) -- Simon Property Group Inc. (NYSE:SPG) has hired investment adviser Lazard Ltd. and law firm Wachtell, Lipton, Rosen & Katz to explore ...
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), ...
... responsibility of investment adviser regulation. The Advisers Act currently reserves for the states the responsibility of regulating investment advisers ...
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? ...
AP The investment adviser Association supports a financial-service reform proposal by Sen. Christopher Dodd (D., Conn. ...
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 ...
They allege that fees were so high they violated the federal Investment Company Act, which is supposed to combat excessive investment adviser
A Halifax investment adviser
Advisers affiliated with Securities and Exchange- or state-regulated registered investment advisers
Vollmer had to apply for a new registration to be licensed as a broker and investment adviser
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
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 ...
Several Supreme Court justices on Monday seemed reluctant to make the courts arbiters of whether mutual fund investment advisers
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 ...
... former head of trading at credit manager Credaris, together with Joe Vittoria and Christian Evans--will serve as investment adviser to the new fund. ...
... LLC ("Artio global"), a registered investment adviser headquartered in New York City that actively invests in global equity and fixed income markets, ...
... advisers changing firms but also because of heavy outflows from the major wire houses and into registered investment advisers and independents. ...
Zacks Investment Research is under common control with affiliated entities (including a broker-dealer and an investment adviser), which may engage in ...
Contact the ASC with inquiries concerning securities broker-dealers, agents, investment advisers, investment adviser representatives, financial planners, ...
... LLC and ESFS, Inc; a registered investment adviser firm, Wye Financial Services, LLC; and a mortgage broker subsidiary, Wye Mortgage Group, LLC. ...
... definition of "investment adviser" as provided under Section 202(a)(11) of the investment advisers Act of 1940 and corresponding state securities laws.


 


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