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25 Jun 2008, 2:45 pm
One of Connecticut’s wealthiest families has recently brought an attachment suit against UBS AG, UBS Securities, LLC and UBS Financial Services, Inc. in an effort to require UBS to set aside $150 million to cover a potential reward in an ongoing FINRA arbitration concerning auction rate securities “ARS”). [read post]
25 Jun 2008, 2:45 pm
One of Connecticut’s wealthiest families has recently brought an attachment suit against UBS AG, UBS Securities, LLC and UBS Financial Services, Inc. in an effort to require UBS to set aside $150 million to cover a potential reward in an ongoing FINRA arbitration concerning auction rate securities “ARS”). [read post]
17 Feb 2020, 12:33 pm
Sources: SEC Charges Investment Advisers with Failure to Disclose Financial Conflicts of Interest SEC Complaint against Criterion Wealth Management Insurance Services, Inc., Robert Allen Gravette, and Mark Andrew MacArthur [read post]
11 May 2023, 12:36 pm
Off-Channel Communications Brokers and registered investment advisers have recordkeeping requirements. [read post]
22 Dec 2016, 6:24 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
22 Dec 2016, 6:24 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
14 Feb 2007, 7:35 pm
There is common ownership with an RIA, Family Wealth Management Services, Inc, a Tennesee corporation. [read post]
22 Sep 2023, 2:05 pm
Contact us Mark Kemp Has Been a Registered Broker Since 1990 According to his Brokercheck, Mark Kemp currently serves as a broker (since 2010) and investment adviser (since 2018) with McNally Financial Services Corporation, located in Corpus Christi, Texas. [read post]
22 Sep 2023, 2:05 pm
Contact us Mark Kemp Has Been a Registered Broker Since 1990 According to his Brokercheck, Mark Kemp currently serves as a broker (since 2010) and investment adviser (since 2018) with McNally Financial Services Corporation, located in Corpus Christi, Texas. [read post]
22 Sep 2023, 2:05 pm
Contact us Mark Kemp Has Been a Registered Broker Since 1990 According to his Brokercheck, Mark Kemp currently serves as a broker (since 2010) and investment adviser (since 2018) with McNally Financial Services Corporation, located in Corpus Christi, Texas. [read post]
21 Jul 2011, 2:00 am
File No. 3-13655, Initial Decision (Sept. 8, 2010). [2] Consulting Services Group, LLC, Advisers Act Release No. 2669 (Oct 4, 2007). [3] Trautman Wasserman & Company, Inc. [read post]
25 Nov 2014, 8:09 am
(BD No. 25574), which later merged with JP Morgan Securities, Inc. [read post]
2 Nov 2009, 2:33 pm
Merrill Lynch Asset Management, Inc. set prevailing standard for more than 25 years: Does the fee schedule represent a charge within the range of what would have been negotiated at arm's-length; or Are the fees so disportionately large that it bears no reasonable relationship to the services rendered Gartenberg found that fees paid to other fund advisers were not dispositive A court should rely on its own business judgment to determine whether the fee is… [read post]
27 Jan 2016, 1:32 pm
(See a previous blog titled “How to Terminate,Discredit, and Interfere with a Financial Adviser: the U-5. [read post]
20 Nov 2018, 7:18 am
Alexander Lebow of A Say Inc. was more cautious to embrace blockchain, although he acknowledged that the technology holds great promise with regards to proxies. [read post]
13 May 2013, 1:00 pm
To date, no enforcement action has been taken. [2] This is still preferable for the angel investment platforms, since the compliance burden for investment advisers is generally lower than for broker-dealers. [read post]
22 Oct 2012, 1:29 pm
Our work with advisers sets us apart from our competition as we have gained insight and knowledge of the financial services industry and the respect of lawyers nationwide on "both sides of the aisle. [read post]
24 Aug 2022, 9:38 am
(CRD#:14251), WELLESLEY, MA 05/01/2002 – 01/02/2015, NEW ENGLAND SECURITIES (CRD#:615), WELLESLEY, MA 02/01/2002 – 04/18/2002, MML INVESTORS SERVICES, INC. [read post]
5 Jul 2019, 6:05 am
Rosenberg, Fried, Frank, Harris, Shriver & Jacobson LLP, on Monday, July 1, 2019 Tags: Broker-dealers, Compliance & ethics, Conflicts of interest, Disclosure, Fiduciary duties, Investment advisers, Regulation Best Interest, SEC, SEC rulemaking, Securities regulation Deal Insurance: Representation & Warranty Insurance in M&A Contracting Posted by Sean J. [read post]
23 Sep 2019, 9:46 am
AB 5 exempts from its scope certain professions including licensed insurance agents, certain licensed health care professionals, registered securities broker-dealers or investment advisers, a direct sales salesperson, real estate licensees, workers providing hairstyling or barbering services, and those performing work under a contract for professional services. [read post]
