Can You Help?? // #myrialawyer
1:02
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@chad9186
@chad9186 13 күн бұрын
Cool necklace
@marcabramson7193
@marcabramson7193 2 ай бұрын
😂Those “other sexy motherf**kers”… LMFAO!! If this whole RIA law/compliance thing doesn’t pan out for you, you may want to consider a new career as host / actress on Showtime After Dark, LOL!!
@smrubelmedia
@smrubelmedia 2 ай бұрын
Your video is very beautiful. I like it a lot. I have been trying to talk to you for a long time. I am waiting for your response. Please give me a chance to talk to you.🥰💗💗
@deebeecooper8619
@deebeecooper8619 7 ай бұрын
That is very cool.
@smrubelmedia
@smrubelmedia 9 ай бұрын
Your video is very beautiful. I like it a lot. I have been trying to talk to you for a long time. I am waiting for your response. Please give me a chance to talk to you. I am a professional digital marketer and KZbin marketing expert.❤️📞💜
@bernadetteoverby5291
@bernadetteoverby5291 11 ай бұрын
Good knowledge! 🌹
@bernadetteoverby5291
@bernadetteoverby5291 11 ай бұрын
🌹
@sgguitars1
@sgguitars1 Жыл бұрын
Thank you Leila!
@isabelleoesch6582
@isabelleoesch6582 Жыл бұрын
promo sm
@natelouderback7329
@natelouderback7329 Жыл бұрын
Good information. I just added a task for myself to look at our firm's policies to see if they are updated to PTE 2020-02. Fun times ahead!
@natelouderback7329
@natelouderback7329 Жыл бұрын
The SEC is very well practiced at the art of the shakedown. They have access to your firm's financials so they know exactly how much they can fine you.
@natelouderback7329
@natelouderback7329 Жыл бұрын
I know it isn't the purpose of the channel, but recording in something better than 360p would be nice. The content is good, but you are a bit blurry :)
@myrialawyer
@myrialawyer Жыл бұрын
Never let perfection be the enemy of good enough!
@tarunkumarsingh7649
@tarunkumarsingh7649 Жыл бұрын
Hello Leila. I follow u on LinkedIn and u look so beautiful
@myrialawyer
@myrialawyer Жыл бұрын
Brains over beauty!
@frankmartinez2987
@frankmartinez2987 Жыл бұрын
$75-150 million AUM; so, you’re not interested in start-up firms?
@myrialawyer
@myrialawyer Жыл бұрын
We work with firms of all sizes.
@mykebonn3478
@mykebonn3478 Жыл бұрын
Hey, I’m really amazed with your videos! you're truly an inspiration. I’m really wondering if you need help in producing more engaging content in Instagram Tiktok and KZbin shorts? I would love to help you and provide values. If you want more details, I can shoot a dm or email.
@ksss1222
@ksss1222 Жыл бұрын
I am an Indian resident If I pass the series 65 , Will I be allowed to become an IAR in the US ?
@myrialawyer
@myrialawyer Жыл бұрын
Potentially. There are other factors that come into play. Whether a state approves your registration as an IAR depends on the registration status of the RIA, whether you have any disqualifying disclosures, whether you are physically located in the state or not, and the activities you plan on undertaking.
@ksss1222
@ksss1222 Жыл бұрын
@@myrialawyer I won’t be physically located in the US But at the same time I only want to do business in US , I don’t want to live there Also I want to primarily provide investment advice So will this be possible or is there no chance ?
@hellzshotgun
@hellzshotgun Жыл бұрын
God damn that ended on a strong note lol. Agree with everything else in this video though!
@natelouderback7329
@natelouderback7329 Жыл бұрын
Another reason related to Item #9. If you are attempting to use a broker-dealer to help sell your fund, it goes through a due diligence process and that process will reject you if your PPM isn't professionally done. -- Keep up the good work!
@ProsperityClubEducation
@ProsperityClubEducation Жыл бұрын
I am late in seeing this, but excellent and thank you.
@natelouderback7329
@natelouderback7329 Жыл бұрын
I work from the BD side and I agree you should get your own counsel if you think your interests will not align with the firm; however, every firm I've worked for includes the representatives in the process so there are no surprises. Of course, there are times when the representatives disagree with the decision, but they know it is coming along with knowing they can put comments on the U4 filing.
@natelouderback7329
@natelouderback7329 Жыл бұрын
Fuck the regulators eh? Might be taking it a bit too far *lol* but I enjoy the fighting spirit.
@natelouderback7329
@natelouderback7329 Жыл бұрын
Please answer the question, but nothing but the question. 100%
@realSamAndrew
@realSamAndrew Жыл бұрын
Expungement only applies if there already has been a record of the complaint, correct? The case is not complete until the arbitration hearing finishes or there is a settlement. If the case is dismissed, there is nothing to expunge. If the case is decided against the advisor, expungement is not warranted.
@myrialawyer
@myrialawyer Жыл бұрын
If an arbitration has been initiated, there is an obligation to disclose on the adviser's U4. If the arbitration is subsequently is dismissed or settled, the disclosure will be updated to reflect such, but it does not come off of the adviser's Form U4. The adviser would need to initiate an expungement process to remove the disclosure from his or her Form U4.
@realSamAndrew
@realSamAndrew Жыл бұрын
@@myrialawyer ok, but an expungement is typically only called for if a clear error or false characterization has been made. If a customer claims damages, and the panel hears the case and decides in favor of the advisor, that's a legitimate claim that was denied, but the filing and hearing actually took place. Why is that eligible for expungement? An advisor had a complaint with no action is not the same as an advisor with zero complaints at all.
@myrialawyer
@myrialawyer Жыл бұрын
@@realSamAndrew Generally, it depends on the facts, but if it is decided in favor of the adviser, then it would potentially qualify for expungement.
@natelouderback7329
@natelouderback7329 Жыл бұрын
Nicely done.
@natelouderback7329
@natelouderback7329 Жыл бұрын
Nice work as always!
@bidensdeadbrain.5913
@bidensdeadbrain.5913 Жыл бұрын
#FINRAFRAUD Nothing but a bunch of criminals. RICO ACT
@bidensdeadbrain.5913
@bidensdeadbrain.5913 Жыл бұрын
ORGANIZED CRIME RICO FOR FINRA
@debrashannon3495
@debrashannon3495 2 жыл бұрын
As a CCO I tried not to get to offended that you are right on every account!
@paralyzedsniper8052
@paralyzedsniper8052 2 жыл бұрын
self help group? You mean family reunions at the AA meetings great tips lol
@maggiekwawer2163
@maggiekwawer2163 2 жыл бұрын
I worry for client confidentiality and then poaching….
@myrialawyer
@myrialawyer 2 жыл бұрын
You can always use client initials or even Anonymous. The disclosures are more about giving context to what kind of person is leaving the review, rather than the actual identity of the reviewer. To the extent you can't identify the person to leave the right kind of disclosure, than I would say just that.
@robert1056
@robert1056 2 жыл бұрын
😓 𝕡𝐫o𝕄o𝔰𝓶
@imtiazuddin380
@imtiazuddin380 2 жыл бұрын
I Think your content is useful
@natelouderback7329
@natelouderback7329 2 жыл бұрын
Bringing the heat as usual.
@dillonirving6121
@dillonirving6121 2 жыл бұрын
𝘱𝘳𝘰𝘮𝘰𝘴𝘮
@jdams
@jdams 2 жыл бұрын
thanks for this, some useful tidbits
@jaredgruccio4441
@jaredgruccio4441 3 жыл бұрын
Can we chat about your services?
@myrialawyer
@myrialawyer 2 жыл бұрын
Absolutely! Please email us at [email protected].
@michaelnelson123123
@michaelnelson123123 3 жыл бұрын
This is very informative. I learned a number of things. Thank you!
@wealthcarefinancialgroupin9468
@wealthcarefinancialgroupin9468 3 жыл бұрын
Hey Dana! She is definitely a queen! ;-)
@chadramberg9514
@chadramberg9514 3 жыл бұрын
This is great information for advisors. The expected costs for claims and and timing is spot on. [email protected]
@rickynave
@rickynave 3 жыл бұрын
Does every investment adviser necessarily have a place of business? Suppose the adviser firm is a totally remote company with managers' homes scattered across different different states and with no office space other than home office space of each manager. Then (1) where should records reside? Can they be in the cloud or must they be stored at one of the managers' homes? and (2) if the adviser only advises a few private funds which total under $25 million, what state rules would apply? If one manager is in FL, could the adviser use the FL fund exemption to not register with FL (or any other state) so long as it did not advertise publicly as being based in FL?
@myrialawyer
@myrialawyer 3 жыл бұрын
You may qualify as an internet adviser.
@natelouderback7329
@natelouderback7329 3 жыл бұрын
Is there any plans to putting the rest of the weeks on the site? I see that there are a few of the series missing. Good job on this, it is a helpful review.
@myrialawyer
@myrialawyer 3 жыл бұрын
We are revamping and will be offering a live monthly Compliance University. Email us as [email protected] to get more information.
@Coffee993
@Coffee993 3 жыл бұрын
Good stuff Leila
@ciamediagroup
@ciamediagroup 6 жыл бұрын
Looks like you're sharing good content, way to go!~Montina