Search for: "Adviser Dealer Services, Inc."
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26 Apr 2018, 3:59 am
She has nearly 30 years’ experience as a writer/editor of financial services news. [read post]
9 Aug 2023, 11:25 am
Broker Dealers and Private Text Apps – SEC Issues $539 Million in Fines On August 8, 2023, The Securities and Exchange Commission announced 10 charges against firms and one dually registered broker-dealer and investment adviser for widespread and longstanding failures to maintain and preserve electronic communications. [read post]
6 Mar 2018, 5:52 am
The Minnesota-based broker-dealer and investment adviser allegedly disadvantaged certain retirement account customers by failing to ascertain their eligibility for less expensive mutual fund share classes, according to the SEC’s order. [read post]
2 Mar 2016, 1:52 pm
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
2 Nov 2012, 7:24 am
Our work with advisers sets us apart from our competition as we have gained insight and knowledge of the financial services industry and the respect of lawyers nationwide on "both sides of the aisle. [read post]
20 Sep 2018, 2:27 pm
He previously worked with Comerica Securities, L M Kohn & Company, Leonard & Company, Natcity Investments, Inc., First of America Brokerage Service, Independence One Brokerage, and two other firms. [read post]
Court won't hear false advertising and contributory liability claims based on tinnitus credentialing
24 Feb 2017, 5:47 am
But the court here declined to join Duty Free America, Inc. v. [read post]
31 Jul 2020, 12:35 pm
VALIC, a SEC-registered investment adviser and broker-dealer, specializes in retirement plans for schools, colleges, and not-for-profit organizations. [read post]
3 Nov 2016, 7:20 am
As part of the settlement, FINRA sanctioned Voya Financial Advisors, five broker-dealer subsidiaries of Cetera Financial Group, Kestra Investment Services and FTB Advisors Inc., according to its action notice. [read post]
6 May 2016, 6:41 am
Inc. [read post]
17 Feb 2021, 9:22 am
VALIC Financial Advisors is an SEC-registered investment adviser and broker-dealer that specializes in retirement plans for schools, colleges, and not-for-profit organizations. [read post]
15 May 2015, 9:01 am
Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. [read post]
18 Apr 2024, 7:37 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]
28 Sep 2022, 12:37 pm
LLC and Morgan Stanley Smith Barney LLC; UBS Securities LLC and UBS Financial Services Inc. [read post]
24 Jul 2009, 11:35 am
The two bank's sell securities through Wells Fargo Investments and WM Financial Services, which is now doing business as Chase Investment Services. [read post]
13 Nov 2009, 11:26 am
The article quotes Carrie Wisniewski, president of B/D Compliance Associates Inc., which provides consulting services to broker-dealers and investment advisers, as saying: “Unregistered offerings can blow up on a firm fast. [read post]
20 Jan 2009, 5:30 am
Ameriprise Financial Services, formerly known as American Express Financial Advisers, has been cited and fined by regulators extensively in recent months for so-called "selling-away violations. [read post]
1 Apr 2008, 9:14 am
The companies are all registered Massachusetts broker dealers. [read post]
30 May 2023, 2:01 pm
Premier Dealer Services, Inc., 2013 IL App (1st) 120327 has caused much head-scratching, and the Illinois legislature essentially punted on the issue in the recent amendments to the Illinois Freedom to Work Act, 820 ILCS 90/1, et seq. [read post]
16 Nov 2020, 7:20 am
The five firms who were charged, American Portfolios Financial Services/American Portfolios Advisors Inc., Benjamin F. [read post]
