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Got Something to Say About Investing or Regulating Wall Street? Great!!!! BrokeAndBroker.com is the place to say it. Let us know about your blog or website and we'll consider featuring it on BrokeAndBroker.com. Contact us at rrbdlawyer@aol.com.
Okay. They are finally getting close to passing this law, but it includes a study that may delay its implementation for a few years. It seems that the government wants disclosure for retail customers, but they do not know what a retail customer is, so they have to have a study. In addition, they wan... Read On
Bill Singer is a securities industry attorney who advocates on behalf of small- and mid-sized broker-dealers, registered persons, whistleblowers, and defrauded public investors.
A federal criminal Complaint unsealed on March 8, 2010, paints a frightening story. On February 22, 2010, more than a dozen employees,executives, and one board member of a New York-based life insurance company (the "Company") received... Read On
Way Up from the bottom, with Wall Street and Big Bank's recent financial results, Rosenthal Recruiting sees the 'Employment Scene' picking up with the biggest firms strategic moves and smaller niche firms launching, expanding or adding capabilities such as Research and revenue producers. Example of ... Read On
As an independent Broker-Dealer / Investment Advisory, we pride ourselves on specializing in alternative investments including managed futures - many of these programs historically and significantly outperformed traditional investment sectors regardless of current economic conditions. Opportunities available for brokers who are interested in being truly independent while offering diversity.
Having survived a wind storm and a semi-annual procedures update process that nearly killed me (the update, not the wind storm), I am resurfacing to provide a few reminders:1. R.I.P. Webcasts: After March 31 you will no longer be able to view Webcasts on FINRA's website. All of the prior c... Read On
This site was created to provide timely and practical information for Financial Advisors on Going Independent and all that's involved in the process. The site will feature articles, tools and other resources including one on one consulting services which we hope will inform, educate and inspire those who visit.
Consumers Financial Corp., Exchange Act Rel. 61561, February 22, 2010After these proceedings were instituted under Exchange Act ยง 12(j) based on delinquent mandatory filings the company claimed that it had less than 200 shareholders by filing a Form 15. The Division of Enforcement sought to amend t... Read On
We view each client relationship from a long-term perspective. The initial interview and portfolio design, while important, are a small part of a much bigger picture. The real value we bring to clients is the constant monitoring of accounts and the ability to offer insight and advice regarding all aspects of their financial affairs through the various stages of their lives.
Advisor Placement Group specializes in independent broker/dealer and RIA transitions. Our goal is to assume the due diligence and negotiations with potential independent firms, so that financial advisors can keep their focus on their business and clients. We are independent; we are not tied to any particular story or firm, allowing us to serve as the Advocate of the Advisor.
Mike Koehler discusses the recent release by the OECD of "the most comprehensive guidance ever provided to companies and business organizations by an international organization" on internal controls, ethics and compliance programs to combat bribery.
(This is only a summary of the article.... Read On
CFR Associates provides broker dealers, investment advisers and hedge fund managers with the services needed to support compliance. Founded in 2002 to fill the; compliance, AML, Internal Audit, Special Projects and Financial Principal needs of small and medium size firms.
. Specialized Recruiting and Staffing for National, Global and Local Companies and Firms Whose Missions Include Compliance, Legal and Financial Services.
2009 was a challenging year for employers and employees.
From our vintage point, we are seeing more employers than in recent years finding it necessary to return excess 401(k) contributions to Highly Compensated Employees by the March 15 deadline or provide a supplemental 100% ves... Read On
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