Search for: "Adviser Dealer Services, Inc."
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11 May 2009, 2:52 am
Technical Services, Inc., 2009 U.S. [read post]
15 Feb 2011, 8:32 am
Considered by the staff, but not recommended in the study, was the repeal of the exclusion from the definition of an investment adviser under the Advisers Act for a broker or dealer providing investment advisory services but the performance of such services is incidental to its business as a broker or dealer and which receives no special compensation for such services. [read post]
7 Oct 2016, 6:01 am
Gubler, Arizona State University, on Friday, September 30, 2016 Tags: Debt securities, Disclosure, Exchange Act, Fiduciary duties, Information environment, Inside information, Insider trading, Liability standards, Repurchases, Rule 10b-5, Securities fraud, Securities regulation AML Obligations of Broker-Dealers Posted by Jonathan N. [read post]
8 Nov 2018, 9:05 am
UBS Financial Services, Inc. [read post]
10 Sep 2021, 1:03 pm
” Todd Petersen is a former broker and investment adviser who spent 2015-2019 at SCF Securities, Inc. in Roseville, California, and began working in the securities industry in 1984. [read post]
27 Sep 2011, 2:05 am
In In re Dawson-Samberg Capital Mgmt, Inc. [read post]
11 Nov 2014, 4:01 pm
Case citation: LBF Travel, Inc. v. [read post]
2 May 2024, 12:35 pm
He was affiliated with firms like RBC Capital Markets, UBS Financial Services Inc., and Citigroup Global Markets Inc. [read post]
29 Apr 2010, 2:08 pm
FEDERAL APPEALS COURT PANEL TOSSES INVESTOR CLAIMS AGAINST CONVICTED ENABLER OF REFCO, INC. [read post]
15 Aug 2013, 12:12 pm
Premier Dealer Services and it involves an employee who worked for a subsidiary of a company which spun off of the parent company and was acquired by another firm. [read post]
7 Nov 2007, 12:28 am
Interwoven was recognized for its innovative contribution to capital markets technology by Operations Management, a leading monthly publication which provides news and analysis on the back-office issues faced by broker/dealers, investment adviser firms, and custodian banks in the US and around the world. [read post]
20 Mar 2012, 11:48 am
The Commission also brought an Administrative Proceeding against an online service that matched buyers and sellers of pre-IPO stock, charging the entity with engaging in securities transactions without registering as a broker-dealer. [read post]
28 May 2019, 1:42 pm
On 3/4/2019, the SEC also barred Gennity from association with “association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or NRSRO. [read post]
27 Dec 2009, 2:34 pm
To verify that the service has been completed, your dealer will ask you to sign a recall claim. [read post]
7 Jul 2011, 8:44 am
"The case is Integrity Auto Specialists Inc. v. [read post]
14 Jun 2010, 4:37 am
Availability of absolute or qualified privilege in judicial and quasi-judicial actionsRosenberg v Metlife, Inc, 8 NY3d 359The Rosenberg decision provides an opportunity to explore the issue of the “qualified immunity” and the “absolute immunity” of individuals in the public service sued for alleged libel or slander flowing from their performance of an official duty.The United States Court of Appeals for the Second Circuit asked the New York State Court of… [read post]
16 Nov 2016, 1:43 pm
Wesley, a former broker with Ameriprise Financial Services. [read post]
25 Feb 2010, 6:30 am
Cuomo announced an agreement with Toyota Motor Sales USA, Inc. [read post]
12 Sep 2013, 1:49 pm
An agent of a closed-end fund would include a director, officer or employee of the fund’s adviser or another service provider that is acting as an agent of the fund. [read post]
28 Sep 2015, 4:25 pm
Jones Capital Equities Management, Inc. [read post]
