Sentences with phrase «against investment advisors»

Acted as lead counsel for shareholders of leveraged, tax - exempt bond funds in actions under the Investment Company Act against investment advisors.

Not exact matches

In August, the investment firm Richard Bernstein Advisors compared the performance of the average investor — based on the monthly flows of money in and out of mutual funds — against a variety of stock indexes, commodities and other asset classes over a 20 - year period ending Dec. 31, 2013.

However, the securities industry does not prohibit the unlicensed and untrained investment advisor from discussing and advising against annuities and recommending their surrender.

Recommending Caution Financial advisors, on the other hand, generally caution retirees and pre-retirees against taking too much investment risk.

«The market has turned against money - losing e-retail properties,» said Brent Holliday, CEO of Garibaldi Capital Advisors, a technology - focused boutique investment banking firm.

In general, financial advisors are generally against these type of investments, although privately, may hold some stake in these themselves to counter stock market ups & downs.

An investor's best defense against fraud, regardless of age, is to ask questions, research the suggested investment, do a background check on the advisor (see Chuck Jaffe's article on page 27) and talk to family members about any big financial decisions.

If you hire an advisor, you should meet with the advisor at least annually to measure your portfolio's performance against appropriate benchmarks, and discuss any changes in your investment objectives.

From advice on short - term investment strategies to managing your organizations» endowment, Webster Financial Advisors can help make your assets work harder for your organization while protecting against potential risks.

Knowing how your mutual funds, ETFs, investment advisors, or your own individual stock picks did against a reasonable benchmark should tell you a great deal about your investment process.

Prolific collector and hedge fund advisor Steven Cohen was absent from the festival in the wake of insider trading allegations against his firm, and the impending cessation of Bush era tax cuts at the beginning of next year saw many investors looking to put their money in tax - free, yet relatively illiquid, fine art investments.

The Klamann Law Firm has successfully handled numerous securities fraud cases on behalf of investors and others against broker - dealer firms, investment advisors, accountants, and other investment professionals.

Represented receiver in claim brought in the U.S. District Court for the Northern District of Illinois against the directors and officers of AA Capital Partners, Inc., an SEC - registered investment advisor, in a $ 60 million claim for violations of ERISA, breach of fiduciary duty, fraud, and conversion arising out of alleged misappropriation and misuse of investor funds.

Defended auditors of a hedge fund and a registered investment advisor against complex malpractice and related claims.

Arguing for and securing a TRO for Mr. Painter to enter and inspect a defendant's offices, unannounced and without prior notice, so that client could retrieve its records in a $ 70 million embezzlement case against an investment fund advisor.

We act for parties involved in all manner of business disputes including breach of contract claims, shareholder and partnership disputes, product liability claims, defamation / protection of reputation, insurance and bond coverage disputes, and negligence claims against professionals including lawyers, auditors, accountants and investment advisors.

Dominic has acted for many claimants against solicitors, accountants and financial advisors in respect of professional negligence and misleading investment advice.

These alerts were prompted by charges laid on January 4th against Anthony Fields, an Illinois - based investment advisor who offered... [more]

However, financial advisors often recommend against purchasing whole life insurance as an investment vehicle.

The investment component serves as «bank» of sorts for the amounts left over after charges are applied against the premium paid, namely charges for mortality (to fund the payouts for those that die with amounts paid beyond the cash values), administrative fees (it costs money to run an insurance company (grin)-RRB- and sales compensation (the advisor has to earn a living).