Search for: "ADVISER DEALER SERVICES, INC."
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7 Sep 2016, 5:00 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]
7 Sep 2016, 5:00 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]
17 Jan 2017, 7:48 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]
17 Jan 2017, 7:48 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]
16 May 2007, 12:30 pm
" "Essentially, LPL played its cards, and NPC folded," said an adviser affiliated with Mutual Service Corp. [read post]
3 Jun 2015, 7:55 am
With the recent focus by the SEC and FINRA on cybersecurity for broker-dealers and investment advisers as a backdrop, FINRA recently brought and settled an enforcement action under SEC Regulation S-P against broker-dealer Sterne, Agee & Leach, Inc. [read post]
9 Jan 2019, 11:31 am
Next Financial Group Inc. will be purchased by Atria Solutions. [read post]
21 Aug 2017, 12:39 pm
” The program allowed clients to pay “a single fee for investment advisory services, trade execution services, custody and other standard brokerage services. [read post]
20 Oct 2017, 7:07 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]
8 Aug 2023, 9:31 am
Wedbush Securities Inc., a dually registered broker-dealer and investment adviser, was additionally charged with violating certain recordkeeping provisions of the Investment Advisers Act of 1940 and with failing to reasonably supervise with a view to preventing and detecting those violations. [read post]
13 Nov 2009, 4:19 pm
Stifel has been working to turn its business into a full-service investment bank and its subsidiary, Stifel, Nicolaus, & Co., recently completed its buy of 56 UBS Financial Services Inc. branches, which it purchased for at least $46 million. [read post]
3 Jan 2017, 3:13 am
Cast of Characters Essex Financial Services, Inc., (“Essex”) a registered investment adviser (“RIA”) and broker-dealer founded in 2003. [read post]
24 Feb 2015, 12:01 pm
Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. [read post]
8 Sep 2015, 9:43 am
Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. [read post]
6 Nov 2015, 11:35 am
Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. [read post]
8 Apr 2013, 12:32 pm
FundersClub and its subsidiary are venture capital fund advisers under Rule 203(l)-(1) of the Investment Advisers Act of 1940. [read post]
28 Jul 2010, 6:49 pm
A Financial Industry Regulatory Authority arbitration panel is ordering Raymond James & Associates Inc. and Raymond James Financial Services Inc. to buy back $2.5M in auction-rate securities from an investor. [read post]
26 Jun 2015, 12:52 pm
Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. [read post]
9 Jan 2011, 1:15 pm
The plaintiff filed a complaint against the manufacturer, Sunseeker International Limited, the authorized distributor, Sunseeker USA, Inc., and Jefferson Beach Yacht Sales, Inc., a Michigan broker/dealer. [read post]
22 Oct 2015, 12:20 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has imposed fines of Voya Financial Advisors Inc., Transamerica Financial Advisors Inc. and four other independent broker-dealers. [read post]
