Monthly Archives: September 2010

SEC Charges Bay Area Investment Adviser for Not Disclosing Conflict of Interest to Investors

As reported on SEC.gov, in Press Release 2010-174, September 29, 2010. The Securities and Exchange Commission today charged a Bay Area investment adviser with securities law violations for switching his clients between two related investments without informing them that the … Continue reading

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Corporations – Investment Company Act of 1940

Private party may not bring action for violation of Section 13(a) of Investment Company Act of 1940. A California Court of Appeal reversed the lower court’s decision in NORTHSTAR FINANCIAL ADVISORS, INC v. SCHWAB INVESTMENTS.  The district court held that … Continue reading

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Real Incentives Driving Portfolio Managers

As reported on Money.CNN.com, by Pat Regnier of Money Magazine, September 27, 2010. The recent financial crisis is partly the result of something economists call the “agency” problem. Put simply, the people you hire to take care of your money … Continue reading

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Probate & Trusts – Payable on Death

Beneficiary’s claim that account was ‘payable on death’ account despite decedent’s failure to finish paperwork before death survives demurrer. A California Court of Appeals reversed the probate court’s decision in ADRIA E. UNDERWOOD v. VALERIE PEARCHE et al.  The case … Continue reading

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Estate Planning for Gay Couples

As reported by Dana Dratch, on Bankrate.com. For gay couples, estate planning can be incredibly frustrating. “Domestic partners have a lot of planning to do, and have to fight discrimination at every turn,” says Todd G. Sears, vice president at … Continue reading

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10 Tips to Keep Track of Your Investments

As reported on FINRA.org. Whether you work with a broker or adviser or you trade on your own, you should always monitor your investments. By keeping an eye on your investments, you can prevent minor mistakes from turning into big … Continue reading

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