Search for: "Adviser Dealer Services, Inc."
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21 Jul 2020, 4:30 am
The product type involved was “non-broker-dealer affiliate product”. [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]
22 Jun 2020, 4:17 pm
” The Court did explain that there is a limited exception where the “entire profit of the business” is for purposes of furthering a fraudulent scheme and, in that circumstance, the defendant may not be able to deduct certain expenses such as personal services. [read post]
8 Jun 2020, 8:18 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]
26 May 2020, 1:50 pm
Hannes operated out of Hannes Financial Services Inc in Spokane Washingon. [read post]
25 May 2020, 3:57 am
Satya Shaw is also precluded from owning either directly or indirectly, a broker-dealer or investment adviser as reported. [read post]
25 May 2020, 3:57 am
Satya Shaw is also precluded from owning either directly or indirectly, a broker-dealer or investment adviser as reported. [read post]
5 May 2020, 12:08 pm
Previous employment included Suntrust Investment Services, Inc. from December 2012 to June 2015 and Fifth Third Securities, Inc. from May 2009 to December 2012. [read post]
16 Apr 2020, 4:55 am
District Judge Kevin Castel of the Southern District Court of New York issued an injunction against Telegram Group Inc. [read post]
10 Apr 2020, 6:01 am
Mascari, Cornerstone Research, on Thursday, April 9, 2020 Tags: Accounting, Class actions, Merger litigation, Securities litigation, Settlements Annual General Meetings & COVID-19 Posted by Michael Laff, Institutional Shareholder Services, Inc., on Thursday, April 9, 2020 Tags: Boards of Directors, COVID-19, SEC, Securities regulation, Shareholder meetings, Virtual meetings Are Corporate Payouts Abnormally… [read post]
6 Apr 2020, 8:37 pm
The North American Securities Administrators Association, Inc. [read post]
31 Mar 2020, 1:50 pm
He has substantial experience over the past fifteen years representing insurers as monitoring counsel and in coverage litigation on policies issued to investment advisers, private funds and broker-dealers. [read post]
24 Mar 2020, 4:01 pm
Nebraska: issued guidance for broker-dealers, agents, investment advisers and investment adviser representatives. [read post]
23 Mar 2020, 2:04 pm
LG Electronics USA, Inc., 2019 WL 8168069, No. [read post]
5 Mar 2020, 1:49 pm
Specifically, the SEC alleged that Mayweather failed to disclose promotional payments from three ICO issuers, including $100,000 from Centra Tech, Inc. [read post]
25 Feb 2020, 7:08 am
Stoltmann Law Offices is investigating claims made by the Securities and Exchange Commission (SEC) against Robert Gravette, Mark MacArthur, and their Registered Investment Advisory firm, Criterion Wealth Management Insurance Services, Inc. [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]
7 Feb 2020, 6:00 am
Haas, Hunton Andrews Kurth LLP, on Wednesday, February 5, 2020 Tags: Advanced notice, Boards of Directors, Charter & bylaws, Delaware cases, Delaware law, Disclosure, Hedge funds, Institutional Investors, Shareholder activism The Economics of Shareholder Proposal Rules Posted by Lucian Bebchuk (Harvard Law School), on Wednesday, February 5, 2020 Tags: Capital formation, Institutional Investors, Private… [read post]
24 Jan 2020, 10:34 am
Launched in February 2018, the Share Class Selection Disclosure Initiative incentivizes investment advisers to self-report violations of the Advisers Act resulting from undisclosed conflicts of interest. [read post]
9 Jan 2020, 7:53 am
Infrastructure Leasing & Financial Services Ltd. [read post]
