Search for: "Independent Financial Group LLC"
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17 Nov 2023, 9:54 pm
Management, financial rights, and voting rights can differ from series to series, giving members a great deal of independence and flexibility without sharing risk with other series. [read post]
15 Nov 2023, 6:26 am
” In fiscal year 2023, the SEC obtained orders for $4.949 billion in financial remedies. [read post]
15 Nov 2023, 5:55 am
Matrix Capital Markets Group, Inc., an independent investment bank with offices in Baltimore, announced the sale of Day Motor Sports LLC to CEO Dan Hamilton and Chief Financial Officer Stacy Hamilton. [read post]
14 Nov 2023, 9:01 pm
” In fiscal year 2023, the SEC obtained orders for $4.949 billion in financial remedies, the second highest amount in SEC history, after the record-setting financial remedies ordered in fiscal year 2022. [read post]
12 Nov 2023, 9:23 pm
The post Fastest Growing Independent Broker-Dealers appeared first on The White Law Group. [read post]
27 Oct 2023, 6:00 am
Merchant groups, long riled by debit card acceptance costs, contend the Fed’s cut doesn’t go far enough, while the banking lobby deplores the proposal as arbitrary and likely to hurt banks and consumers. [read post]
19 Oct 2023, 11:55 am
LPL Financial LLC (2023) 91 Cal. [read post]
10 Oct 2023, 7:08 am
" And the actual-malice standard comes at a heavy cost, allowing media organizations and interest groups "to cast false aspersions on public figures with near impunity. [read post]
3 Oct 2023, 9:01 pm
The Company agreed to pay a $1.65 million civil penalty to settle the SEC’s claims and to retain an independent compliance consultant to test, assess and review the Company’s internal accounting and financial reporting controls. [read post]
26 Sep 2023, 9:01 pm
Several banks assigned portions of the term loan made to Millennium Laboratories LLC (“Millennium”) to institutional investor groups, including mutual funds, hedge funds and other institutions. [read post]
21 Sep 2023, 9:01 pm
EDITOR’S CHOICE In an essay in The Regulatory Review, Susan Block-Lieb, the Cooper Family Chair of Urban Legal Issues at Fordham Law School, argued against criticism that the Consumer Financial Protection Bureau lacks accountability due to its regulatory and financial independence and single-director leadership. [read post]
8 Sep 2023, 12:51 pm
The White Law Group reviews the regulatory history of Ameriprise Financial Services. [read post]
8 Sep 2023, 5:54 am
[is] ‘to insure [sic] that a particular industry will be financially responsible for injuries to those employees working in it, even though the prime contractor employs an independent contractor to perform part or all of its contractual undertaking. [read post]
6 Sep 2023, 9:01 pm
CAT LLC will adjust the applicable fee rate twice a year. [read post]
5 Sep 2023, 4:21 am
The right to inspect company books and records is separate and independent from the right to an equitable accounting, which ‘require[s] a person in possession of financial records to produce them, demonstrate how money was expended[,] and return pilfered funds in his or her possession. [read post]
29 Aug 2023, 12:32 pm
Hilltop Securities (CRD#: 6220) is an independent broker-dealer based in Dallas, Texas. [read post]
27 Aug 2023, 7:49 pm
Western International Securities (CRD#: 39262) is an independent broker-dealer based in Pasadena, CA. [read post]
25 Aug 2023, 6:30 am
Securities and Exchange Commission, on Thursday, August 24, 2023 Tags: advisors, Financial regulation, investors, issuers, Monetary policy, Private funds, SEC enforcement, Transparency [read post]
25 Aug 2023, 6:30 am
Securities and Exchange Commission, on Thursday, August 24, 2023 Tags: advisors, Financial regulation, investors, issuers, Monetary policy, Private funds, SEC enforcement, Transparency [read post]
23 Aug 2023, 6:03 am
Independently Verify Information: Verify any information provided by the broker through independent sources. [read post]
