Sentences with phrase «fiduciary advice relating»

Not exact matches

Whether the anticipated applicability of the Fiduciary Rule and PTEs has harmed or is likely to harm investors due to a reduction of Americans» access to certain retirement savings offerings, retirement product structures, retirement savings information, or related financial advice;

On its face, this interpretive guidance broadly suggested that any rollover - related advice from an advisor providing any fiduciary advice to the plan sponsor or the plan's participants could result in a prohibited transaction.

The DOL Fiduciary Rule is designed to regulate activities related to employer - sponsored plans and anyone who gives advice on retirement plans, including advice on rolling over or transferring a retirement plan to an IRA.

No information contained herein should be regarded as a suggestion to engage in or refrain from any investment - related course of action as none of PIMCO nor any of its affiliates is undertaking to provide investment advice, act as an adviser to any plan or entity subject to the Employee Retirement Income Security Act of 1974, as amended, individual retirement account or individual retirement annuity, or give advice in a fiduciary capacity with respect to the materials presented herein.

Johnston is also advising a construction company in a claim against a solicitor relating to negligent advice regarding a Part 36 offer and cost consequences given to the client following litigation, and Hall is handling a claim against solicitors for negligence and a breach of fiduciary duty relating to a property transaction.

Advice and litigation relating to the conduct of meetings, directors» fiduciary duties, breach of warranties claims in the context of company acquisitions, financial assistance and other aspects of Company Law.

Some of these earlier cases, like Stock, also relied on the «fiduciary exception» to the attorney - client privilege, which states that «where a trustee, acting on behalf of his fiduciaries, uses trust funds to obtain legal advice regarding a trust matter, «the beneficiaries [are] the «real clients» of the attorney who *** advised the trustee on trust - related matters,» and therefore the «attorney - client privilege properly belong [s] to the beneficiaries rather than the trustees.

Decades of quality representation involving misrepresentation, unsuitable products, breach of fiduciary duty, fraud, promissory notes, securities employment related claims, breach of contract, unsuitable advice / mismanagement relating to stock, bonds, options, structured products, churning, unauthorized trading, options, mutual funds, REITS, private placements, structured products and all...