ALBANY—On Tuesday, the New York State Court of Appeals heard the appeal of Chaskie Rosenberg, a registered rep who was fired in 2003 by Metropolitan Life Insurance. The court’s decision could have a major impact on New York laws about what brokerage firms can and cannot put on the U5 forms they file with the NASD when an employee leaves a firm. Initial questions from the judges suggest they may side with reps, some of whom have been fighting back against what they say are false allegations of misconduct on these U5 forms.
The Securities and Exchange Commission on Jan. 24 approved a new code of procedures that govern arbitrations at the NASD Dispute Resolution. The changes were a long time coming: Some of them have been sitting at the SEC since 2003.
Lawyers often see family members get ugly over assets. Rarely, though, does the nastiness literally explode, sending one of the parties to meet his maker. But that's exactly what happened in the case of Dr. Nicholas Bartha and his ex-wife Cordula Hahn. Their War of the Roses divorce became his funeral dirge.
Investors tend to look at portfolio risk in terms of geographic exposure or asset classes—but that's not always an accurate gauge. Taking a broader view of risk assessment can provide a better sense of how the portfolio will perform in volatile markets....More
When practitioners meet with clients who are near death, they're tasked with making valuable contributions to the client's estate plan within a limited time frame. Using a 20-point checklist, our speakers will outline how eleventh hour planning may help clients achieve favorable outcomes for their beneficiaries and avoid missing valuable opportunities....More
You'll discover the ways ETFs allow you to construct more nimble and unique portfolios for your clients, based on a sector approach to the market. Marc Chaikin, creator of Chaikin Money Flow, demonstrates how to find trends in equity sectors—and use ETFs to construct strong client portfolios....More
This complimentary webinar will explore the National Association of Estate Planners & Councils model for collaboration, as articulated in a recently released white paper, "High Performance Teaming and Professional Collaboration", and the 5 critical best practices our speakers have observed in teams who collaborate most effectively....More