And they lie to the client to try to convince them that what they're doing is perfectly lawful.
Significantly, past investment performance of the fund was not provided to the client.
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This investment advice is provided to the client on an ongoing basis for both proprietary and non-proprietary investment options.
If an innovation is not relevant to the client, what is its point?
Audits should be customized to the client, and changed and adjusted each year or more often as conditions change.
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Because the lawyer is reimbursed, current tax law treats the costs as loans by the lawyer to the client.
The custodian reports directly to the client in a statement at least monthly.
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In 2012, Wall Street took care of itself first, as it always does, and then gave crumbs to the client.
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It also alleges that Cantor acted not as a broker but as a dealer, without disclosing it to the client.
And, when a registered investment advisor charges performance-based compensation, by law, the advisor must make a specific disclosure to the client.
Most salespeople know that they should listen to the client, but too few of them do, and usually not soon enough.
They demonstrate the value the agency has brought to the client and, in this metric-conscious world, there is little better than that.
Horse prepared tax returns with the information provided by the client and printed a copy of that return to give to the client.
Or, firms should disclose their ownership structures and business relationships and leave it up to the client to come to his own conclusions.
After she checks out, her report is written up, fact-checked by Coyle, and delivered back to the client in a matter of weeks.
The price of pension consulting services, as reflected in expressly stated fees disclosed to the client could (and we would argue should) easily double.
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Though Mr. Pellizzoni, the 39-year-old founder of Maurizio Pellizzoni Design, says each project is tailored to the client, his designs tend to share certain characteristics.
Rule Number 2 : The fact that the check is sent to the client, in her name, and at her address may not protect you!
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It has to be simple and easily communicated to the client.
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But those benefits accrue to the client, not the the advisor.
In April, the U.S. Ninth Circuit Court of Appeals found that the Cafra attorney's fee should be paid to the client, not directly to the lawyer.
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From his point of view, Goldman Sachs, having built its success for almost 150 years upon service to the client, has now completely lost its way.
As we have written in earlier articles, the kick-backs from managers frequently dwarf the annual consulting fee paid by the pension that is disclosed to the client.
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No additional income would be generated for what the manager earned from the weighted elements of the index would simply become a monetary transfer to the client.
For me, one critical skill of a financial adviser is the ability to listen to the client and move into his shoes for a certain period of time.
Mr. Klausner said after a pension-fund client of his firm requested more disclosure from Merrill, the company added reporting on all brokerage-related revenue to the client in quarterly reports.
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The court reasoned that Alabama's pro-lawyer laws give contingency lawyers such a strong claim on their clients' winnings that the lawyer's cut is in no way income to the client.
When the certificant provides financial planning or material elements of financial planning, the certificant owes to the client the duty of care of a fiduciary as defined by the CFP Board.
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This was at a time when only the largest banks offered this service to their clients (and at a cost to the client) and there was no proven ROI on the product.
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