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Thu. January 08, 2009

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All financial planners who have registered as investment advisers with the Securities and Exchange Commission or state securities agencies, ...
... definition of "investment adviser" as provided under Section 202(a)(11) of the investment advisers Act of 1940 and corresponding state securities laws. ...
... paper salvos yesterday as they battled over whether the disgraced investment adviser should have his $10 million bail revoked and be thrown in jail. ...
Before you invest in anything it makes sense to analyze the features, costs, and what's right for your particular situation, with your investment adviser. ...

When this regulation became effective, the Madoff firm registered as an investment adviser, while retaining its registration as a broker-dealer. ...
6 (Bloomberg) -- Nearly two-thirds of US millionaires say their investment advisers have failed them during the global recession, a survey showed. ...
According to the Second Circuit, investment advisers suffer no injury-in-fact even when their investors may have suffered a constitutionally redressable ...
The SEC is responsible for overseeing registered broker-dealers, transfer agents, clearing agencies, investment companies and investment advisers, ...
The March 2008 blueprint recommended that investment advisers be subject to an SRO regime similar to that of broker-dealers. Such a regime "would enhance ...
AP -- A former Atlanta stockbroker and investment adviser is accused of diverting about $3 million for personal use, including $1 million from a 90-year-old ...
The investment adviser Association on Monday called for the threshold for federally-regulated investment advisers to be raised to enable the Securities and ...
While the number of SEC regulators has dropped from 1338 to 1192 from 2005 to 2007, the number of investment advisers has been up 50 percent since 2002. ...
There is, of course, no right answer for everyone, investment advisers say. "This market has tested people's risk tolerances, and now we know a lot more ...
That typically is a sign that we're forming a bottom," said Eric Thorne, an investment adviser at Bryn Mawr Trust. The Dow Jones industrial average closed ...
... Authority as well as the propriety of the selection process by which the firm was chosen to serve as the state's swaps and investment adviser in 2004. ...
... definition of "investment adviser" as provided under Section 202(a)(11) of the investment advisers Act of 1940 and corresponding state securities laws. ...
If you can't sleep at night, you are taking too much risk," said Larry Swedroe, an investment adviser in Clayton, Mo., whose mantra -- never take more risk ...
... definition of "investment adviser" as provided under Section 202(a)(11) of the investment advisers Act of 1940 and corresponding state securities laws. ...
The amount and timing of repurchases will be at the discretion of the investment adviser to the Fund, and subject to market conditions and investment ...
If you can't sleep at night, you are taking too much risk," said Larry Swedroe, an investment adviser in Clayton, Mo., whose mantra -- never take more risk ...
The investment adviser's firm, Bernard L. Madoff Investment Securities, is being liquidated under court-appointed trustee Irving Picard, a lawyer. ...
... definition of "investment adviser" as provided under Section 202(a)(11) of the investment advisers Act of 1940 and corresponding state securities laws. ...
The US House education and Labor Committee's chairman, Rep. George Miller, called a hearing recently to challenge the Pension Benefit Guaranty Corporation ...
About three in four investment advisers polled recently in a national survey expect higher stock prices in the coming year. "Managers believe that the ...
There were, in fact, warnings about the dangers of these securities, from investment advisers and major accounting firms. Auction-rate securities had boomed ...
Thema Fund was distributed to investors by Genevalor, Benbassat & Cie., a Geneva-based investment adviser, according to Benbassat's Web site. ...
... definition of "investment adviser" as provided under Section 202(a)(11) of the investment advisers Act of 1940 and corresponding state securities laws. ...
They should ask if the investment advisers or investment adviser representatives are licensed and if there have been any enforcement actions taken against ...
Oren Idelman, 33, an investment adviser at a nearby bank, said, "I'm prepared to live like this for months, as long as the army continues this aggressive ...
The victims include a Montana investment adviser, his 94-year-old mother, his 95-year-old aunt and his brother and sister, Egan said in an interview with ...
Dr. Khalique Zahir found Azzad Asset Management in Falls Church, Va., while looking for an investment adviser that observed Islamic rules banning things ...
"I'm prepared to live like this for months, as long as the army continues this aggressive line," said Oren Idelman, 33, an investment adviser at a nearby ...
... definition of "investment adviser" as provided under Section 202(a)(11) of the investment advisers Act of 1940 and corresponding state securities laws. ...
Dr. Khalique Zahir found Azzad Asset Management in Falls Church, Va., while looking for an investment adviser that observed Islamic rules banning things ...
... definition of "investment adviser" as provided under Section 202(a)(11) of the investment advisers Act of 1940 and corresponding state securities laws. ...
Such secrecy from an investment adviser "tells me to cover my wallet and run," said Mr. Johnston, author of Robbed at Pen Point. "All the attention centers ...
Investigate the investment adviser and salesperson thoroughly. Contact your state or provincial securities agency to find out if he or she is properly ...
Madoff, a 70-year-old investment adviser and former chairman of the Nasdaq stock market, was arrested on December 11 and charged with securities fraud. ...
Many investment advisers will have experience of very difficult market conditions but few will have encountered anything like that which we are seeing today ...
By David Robinson NEWS BUSINESS REPORTER The brutal stock market has battered local investment advisers, but their innate optimism remains intact. ...

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