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On Wall Street
April 1, 2011
Alan J. Foxman |
The Whole Truth Advisor Q&A: Disclosure of conflicts of interest... Clients testimonials as advertising... Advisor representatives and outside business activities... Form ADV on a CD... Qualifications needed on Form ADV...   |
Financial Planning
February 1, 2008
Marianne Czernin |
Compliance In effect now are stricter requirements to protect investors age 65 and over. Advisors, read on to see which areas you need to be vigilant in. |
Registered Rep.
April 1, 2007 |
When Achievement is Bull State regulators are moving to ban certain designations from marketing materials to better protect seniors. Financial advisors using senior designations to con seniors are often caught too late. |
Financial Planning
August 1, 2008
Donald Jay Korn |
Labels Under Fire Regulators are making it clear that advisors who use the word "senior" or various synonyms to transact business unethically are squarely in their sights. |
Registered Rep.
April 5, 2012
Jerry Gleeson |
CFP Board to Make Planner Bankruptcies Public Bankruptcy among holders of the Certified Financial Planner designation has been rising at a startling rate in the past four years. |
On Wall Street
September 1, 2010
Alan J. Foxman |
Ponzi Schemes And Problems Paying Fines Q&A: What does it mean for advisors that records are now available to the general public online?... How will arbitration payments I must make but cannot afford right now affect my license?... more... |
BusinessWeek
February 26, 2007
Lauren Young |
Financial Pedigrees--Or Blarney? A guide to decoding the dizzying array of acronyms on your financial adviser's business card. |
Commercial Investment Real Estate
Sep/Oct 2007
Brian Greenspoon |
Bankruptcy Sales Understanding sales processes from a legal standpoint during bankruptcy can be useful for commercial real estate professionals in the current market conditions. |
Financial Planning
September 1, 2009
Stacy Schultz |
Staying Alive As the economic environment has pinned many financial advisors against a wall, for some, bankruptcy is their best chance at salvaging their business. |
Entrepreneur
January 2004
Jane Easter Bahls |
Against Your Will Is your business drowning in debt? If so, you should know about a legal maneuver creditors can use to force your business into bankruptcy. |
The Motley Fool
August 12, 2009
Selena Maranjian |
How Your Stocks Can Get Wiped Out Are you considering investing in a company in or near bankruptcy? Think twice. |
Investment Advisor
December 2007 |
The Certification Advantage Many different designations have been designed to aid advisors in servicing elderly clients correctly. Read on about three common certifications. |
Registered Rep.
May 1, 2006
Barry Rehfeld |
Alphabet Soup There are ways for reps to become authentic financial advisors, like the courses offered by continuing education groups and it seems that many advisors are, in fact, taking them. With designations proliferating like ragweed, they have come under fire from a number of public officials lately. |
On Wall Street
September 1, 2011
Alan J. Foxman |
To Share Or Not to Share (Revenue) I'm preparing to merge my small brokerage firm with a registered investment adviser. Do we have to wait for FINRA approval before we can close the transaction? |
The Motley Fool
February 15, 2007
David Lee Smith |
Delta: Use Runway "A" For Emergence Delta managed to lift off as an operating entity in 2006. |
Financial Planning
August 1, 2006
Donald Jay Korn |
Daunted by Designations? As the number of expert designations heads toward triple digits, financial planners must decide which -- if any -- they really need. |
The Motley Fool
June 2, 2009
Dan Caplinger |
3 Bankruptcies That Actually Helped Investors Some bankrupt companies made good investments. Take a look at: Conseco... Delta Airlines... UAL Corp. ... |
AskMen.com
July 7, 2002
Donald Morrison |
The Ups & Downs Of Bankruptcy While filing bankruptcy shouldn't be a shameful process, it is one that ought to be approached with caution. It's a means of repayment that isn't cut out for every financial situation, regardless of how catastrophic they may seem, and its consequences can be detrimental and far-reaching. |
The Motley Fool
August 31, 2007
John Rosevear |
Don't Be Afraid of Bankruptcy Although bankruptcy's reputation is as a refuge for deadbeats, most of those who end up filing are regular folks who have gone through a life-changing (and finances-changing) experience. |
Financial Advisor
December 2005
Gregory Bresiger |
Unprotected Clients? Financial advisors must understand how the new bankruptcy law changes the rules of asset protection. |
The Motley Fool
October 18, 2006
Dan Caplinger |
Did Bankruptcy Reform Work? A year after new bankruptcy laws took effect, the results are still mixed. What is clear, however, is that many honest people are suffering for the bad actions of a few abusive debtors. |
Investment Advisor
March 2008 |
Certified You might want to investigate acquiring these designations to increase your knowledge and expertise of serving elderly clients. |
Registered Rep.
February 7, 2007
Halah Touryalai |
Alphabet Soup: Massachusetts May Ban Some Advisor Designations Advisors who hold certain obscure professional designations may want to think twice about touting their alleged specialties on their business cards, mailings or other advertisements -- at least in the state of Massachusetts. |
The Motley Fool
December 14, 2010
Dayana Yochim |
How to Tell Your Advisor's Real Agenda This four-step background check will reveal whether you're about to get sound advice, or advice that just sounds good. |
HBS Working Knowledge
August 25, 2003
Baker Library Staff |
Researching Bankruptcies on the Web A place to start for researching or filing bankruptcies. |
The Motley Fool
December 21, 2005
Stephen D. Simpson |
Calpine Bows to the Inevitable Bankruptcy may give this independent power company a second chance, but today's shareholders will get hosed. |
AskMen.com
Terence Channon |
Survive Bankruptcy Fortunately, there are logical steps and resources to help you survive and rebuild during these trying times. |
Food Processing
December 2008 |
Interstate Bakeries Readies Its Exit from Bankruptcy Protection If the reorganization plan is approved as presented, it will mean the cancellation of all public stock in the company. |
Investment Advisor
November 2006
David L. Miller |
A Law With an Immediate Effect The new landscape of bankruptcy in America: IRS officials and tax professionals review the impact of the Bankruptcy Abuse Prevention and Consumer Protection Act of 2005. |
The Motley Fool
April 30, 2010
Dayana Yochim |
4 Questions Only the Best Money Pros Can Answer How to find an advisor who gives sound advice, not advice that just sounds good. |
The Motley Fool
March 10, 2005
Selena Maranjian |
Bye-Bye, Bankruptcy? Expect to have a tougher time declaring bankruptcy soon. If you're deep in debt, learn more about the new rules. |
Registered Rep.
May 17, 2007
Halah Touryalai |
Massachusetts Enforces Rules On Use of Senior Designations The state's Securities Division adopted the nation's first regulation requiring advisors to advertise only accredited credentials, or credentials that can clearly demonstrate that they call for meaningful expertise, when offering financial advice to elderly clients. |
Financial Planning
March 1, 2012
Miriam Rozen |
New Chapters After Bankruptcy John E. Matheny had a thriving financial planning business, with $35 million in assets under management, until three years ago. That's when the planner confronted disorder in his own finances. |
Commercial Investment Real Estate
Nov/Dec 2010
Gloria Bowman |
Two Of A Kind Land specialists bet on dual designations to win business. |
Commercial Investment Real Estate
Sep/Oct 2006
Nicholas A. Franke |
Designation Rights When retail tenants are unable to honor rent payments due to bankruptcy, selling the property's designation rights may provide an alternative option for realizing the leases' value. |
Financial Planning
November 1, 2011
David E. Adler |
The ABCs of Planner Titles Do you know your REBC from your CEBS, your CIMA from your CMA, and your PFS from your RFC? |
Registered Rep.
May 1, 2004
John Churchill |
Helping Advisors Cope with Aging, (Their Clients) Reps now have another designation to pin to their names. The American College of Bryn Mawr, PA has unveiled its newest specializaion: Chartered Advisor for Senior Living (CASL). |
Financial Advisor
May 2012 |
CFP Board Shortens Certification Time The Certified Financial Planner Board of Standards last month said it's amending its regulations to shorten the time needed to qualify for CFP certification from three years to two if the person has two years of experience. |
On Wall Street
July 1, 2010
Alan J. Foxman |
Dueling Investigators Advisor Q&A: Why must agencies duplicate investigatory efforts?... Should I worry about reps picking up bad habits from old firms?... |
AskMen.com
Terence Channon |
How To: Declare Bankruptcy Times are tough and you've found yourself with a pile of credit card debt -- and you have no way to pay it off. Here's how to declare bankruptcy properly. |
The Motley Fool
August 12, 2005
Roy Lewis |
When IRAs Meet Chapter 11 Does a recent Supreme Court ruling shield IRAs from bankruptcy creditors? A simple reading of the court's decision could suggest that IRAs get absolute bankruptcy protection -- but that's not the case. |
The Motley Fool
March 3, 2004 |
Alphabet Soup of Advisors What are all those fancy acronyms embossed on financial advisors' letterheads? While these designations don't ensure that the person does good work, they do say the person has had some training and experience, and perhaps a lot of it. |
The Motley Fool
October 27, 2007
Elizabeth Brokamp |
Making Sense of Financial Credentials Shouldn't you know who's handling your money? |
BusinessWeek
June 11, 2009
Aaron Pressman |
Betting on the Equity in Bankrupt Companies Generally it's a bad idea to buy stocks of bankrupt businesses, but right now many companies in Chapter 11 are not insolvent. Here's how to assess the prospects. |
Commercial Investment Real Estate
Jan/Feb 2006
Steven E. Ostrow |
Changing the Code While the new bankruptcy act primarily reforms the laws affecting consumer cases, it also contains a number of amendments applicable to business insolvencies. One of the most significant changes involves the U.S. Bankruptcy Code and the treatment of commercial leases. |
Financial Advisor
February 2009
Sherri Scordo |
Frontline News Broker-Dealer View On Regulation... Tax (Saving) Season Is Here... Credit Crisis May Hurt Wealth Management... ChFC Requirements Get Tougher... |
The Motley Fool
November 2, 2010
Travis Hoium |
Farewell to Ambac Financial The long fall of Ambac Financial seems to finally be coming to an end. |
CFO
October 1, 2011
Vincent Ryan |
Asset Sales: The Other Endgame Why insolvent companies are discovering that filing for bankruptcy is often not the best way to go. |
Inc.
June 2004
Adam Hanft |
Grist: Why Bankruptcy is Bad for Business What happens if a small business needs to seek bankruptcy protection? The current laws counterintuitively favor large bankruptcies. It's time to address this lopsided situation |
The Motley Fool
December 24, 2007
Rick Aristotle Munarriz |
Still Better Than a "Pluto Nash" Sequel Movie Gallery's bankruptcy reorganization plan isn't kind to shareholders. |
