Search for: "ADVISER DEALER SERVICES, INC."
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25 Jan 2018, 11:33 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 Aug 2016, 5:00 am
According to FINRA, capital acquisition brokers are firms that are solely corporate financing firms that advise companies on mergers and acquisitions, advise issuers on raising debt and equity capital in private placements with institutional investors, or provide advisory services on a consulting basis to companies that need assistance analyzing their strategic and financial alternatives. [read post]
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 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]
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]
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]
