More than 25 years have elapsed since the SEC adopted Exchange Act Rule 17a-4(f) governing electronic recordkeeping by broker-dealers. In an effort to update the rule to reflect “technology neutral” concepts, the SEC adopted...more
In a November 16, 2017 ruling, a California appellate court affirmed a summary judgment ruling in favor of several financial advisors, and insurer American General Life Insurance Company, holding that plaintiffs’ fraud and...more
4/10/2018
/ Appeals ,
Defined Benefit Plans ,
Financial Adviser ,
Financial Planning ,
Fraud ,
Insurance Industry ,
Insurance Litigation ,
Investment Products ,
Life Insurance ,
Negligence ,
Statute of Limitations ,
Summary Judgment ,
Tax Advice ,
Tax Liability ,
Tax Shelters ,
Time-Barred Claims