Search for: "Adviser Dealer Services, Inc."
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28 Jun 2022, 7:00 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 May 2014, 7:01 am
The Financial Services Institute, which is comprised of independent broker-dealers and financial advisers, supports making fee disclosures more meaningful to investors as long as standardization takes into account differences among firms. [read post]
6 Nov 2013, 11:00 am
See FundersClub Inc. [read post]
10 Jul 2020, 1:46 pm
At times relevant to perpetrating his criminal scheme, Kiffmeyer was a registered representative and financial advisor for FINRA broker/dealer Brokers International Financial Services, LLC. [read post]
1 Oct 2014, 6:26 am
Stahler, formerly a registered representative with multiple broker dealers including Lowell & Company, Inc., Ausdal Financial Partners, Inc., Berthel, Fisher & Company Financial Services, Inc., VSR Financial Services, Inc., among others. [read post]
8 Nov 2021, 9:40 am
” Major auction houses, meanwhile, advised FinCen that the majority of their sales are not even cash-based, with Christie’sexplaining that “[c]ash transactions … in [read post]
8 Apr 2011, 8:41 am
Hanlon was also previously associated with Delta Equity Services Corporation, a FINRA registered broker-dealer, before FINRA suspended Hanlon in 2010 for violating FINRA rules for failing to comply with an arbitration award. [read post]
4 Apr 2019, 7:23 am
A recent settled SEC Order with Wedbush Securities, Inc., a dually-registered investment adviser and broker-dealer, has resulted in a censure and $250,000 fine against that firm. [read post]
30 Nov 2018, 2:39 pm
He has nearly 20 years experience in the industry as a broker and worked with a number of other broker-dealers, including Seaboard Securities, which FINRA has since expelled, Newbridge Securities, which has a record of hiring rogue brokers, Milestone Financial Services, JP Turner & Co., Cape Securities, and First Standard Financial Company, where he spent less then a year before moving to Joseph Stone Capital. [read post]
6 Mar 2012, 8:33 am
Walsh from associating with any broker, dealer, or investment adviser. [read post]
6 Mar 2012, 8:33 am
Walsh from associating with any broker, dealer, or investment adviser. [read post]
18 May 2017, 7:41 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]
6 Dec 2021, 12:02 pm
HNL Automotive Inc., a case with significant implications for the amount of money a plaintiff can recover when proceeding against a dealer/seller under the FTC Holder Rule. [read post]
15 Mar 2017, 6:23 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]
12 Apr 2024, 11:27 am
The SEC charged five broker-dealers, seven dually registered broker-dealers, and four affiliated investment advisers for wide-ranging and persistent deficiencies in maintaining and preserving electronic communications. [read post]
12 Sep 2012, 8:00 am
The Texas Court of Appeals in, Fiduciary Financial Services of South West Inc. v. [read post]
12 Sep 2012, 8:00 am
The Texas Court of Appeals in, Fiduciary Financial Services of South West Inc. v. [read post]
13 Apr 2011, 9:32 am
Regulation S-P prohibits any broker or dealer, any investment company, or any investment adviser registered with the SEC under the Investment Advisers Act of 1940 from disclosing any nonpublic personal information about a consumer to a non-affiliated third party. [read post]
28 Apr 2014, 7:01 am
DeWaay owns registered investment advisory shop DeWaay Capital Management Inc., DeWaay Benefit Administrator, an employee benefits plan administrator, and defunct broker-dealer DeWaay Financial Network. [read post]
5 Nov 2009, 6:41 am
Moreover, FINRA oversight of advisers who are associated with broker-dealers would create a new, parallel system of regulation for advisers. [read post]
