The tax savings are often seen more as a way "to stretch their charity dollar," and not as a major factor in deciding whether or not to give, says Perry Moore of Payne Wealth Partners in Evansville, Ind., an investment-adviser firm that manages about $300 million. ❋ Thomas Coyle (2011)
The Securities and Exchange Commission, which regulates investment-adviser firms with at least $25 million in assets under management, doesn't track alleged frauds by the age of the victim. ❋ Kelly Greene (2011)
I have rarely seen a brokerage account that doesn't cost two to three times more than an investment-adviser relationship, when all expenses are considered. ❋ Unknown (2011)
State and federal investment-adviser laws generally apply to financial planners, whose services typically include providing advice about securities, according to the study. ❋ Suzanne Barlyn (2011)
The rise will allow Mr. Borg to add three employees to handle the investment-adviser work being outsourced by Washington. ❋ Jean Eaglesham (2011)
The SEC's Investment Adviser Public Disclosure website , meanwhile, collects investment-adviser registration statements that give information about advisers' employment and regulatory histories. ❋ Mary Pilon (2011)
Justice Alito said judges owed deference to the fee-setting decisions made by mutual-fund boards when "a board's process for negotiating and reviewing investment-adviser compensation is robust." ❋ Brent Kendall (2010)
Mr. Donohue headed the SEC's Division of Investment Management for four years, where he led the effort to overhaul mutual-fund prospectuses and investment-adviser disclosure. ❋ Unknown (2010)
Starr has remained jailed since his arrest last month on wire-fraud, investment-adviser fraud and money-laundering charges. ❋ Unknown (2010)
The Dodd-Frank Act requires the SEC to study the frequency of its investment-adviser examinations and whether one or more self-regulatory organizations can bolster the agency 's efforts. ❋ Suzanne Barlyn (2010)
Last week, testimony concluded in administrative hearings through which the state is seeking to revoke the investment-adviser registrations of the Coopers and their firm. ❋ Jason Zweig (2010)
News, victims list, more Mr. Friehling pleaded not guilty to charges originally filed in March: securities fraud, aiding and abetting investment-adviser fraud and four counts of filing false audit reports with the Securities and Exchange Commission. ❋ Unknown (2009)
Madoff's chief deputy for three decades, has pleaded guilty to multiple counts of conspiracy, securities fraud, investment-adviser fraud, mail fraud, international money laundering, perjury, tax evasion and falsifying records. ❋ Edward Jay Epstein (2009)
The Securities and Exchange Commission offers a similar check for information about investment-adviser firms at Adviserinfo. sec.gov ❋ Unknown (2009)
Separately, Morgan Stanley and one of its former investment-adviser representatives misled clients and failed to disclose conflicts of interest, according to charges filed by the Securities and Exchange Commission. ❋ Unknown (2009)
AIG had planned to auction off the investment-adviser group as part of a large-scale selloff of assets to repay its government bailout. ❋ Unknown (2009)
“The investment-adviser community is pretty close knit, so these people know if a business is for sale,” Mr. Morton says. ❋ Unknown (2009)
