Search for: "Adviser Dealer Services, Inc."
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26 May 2020, 1:50 pm
Hannes operated out of Hannes Financial Services Inc in Spokane Washingon. [read post]
26 Jan 2024, 1:40 pm
Voya and the unregistered entity had a Variable Marketing Agreement for services related to VUL sales. [read post]
7 May 2024, 7:35 am
The advisers, including FSC Securities Corporation, Osaic Wealth, Inc. [read post]
9 Jun 2022, 8:46 am
If you have these tires, you can contact a Goodyear Commercial Tire and Service Network location or visit an authorized Goodyear commercial truck tire dealer for free replacements. [read post]
11 Apr 2016, 11:28 am
Oliver Capital Management and its president for allegedly routing winning trades to favored clients and lying about payments using client assets, and against the firm’s broker-dealer Instinet for approving some of these payments.Mr. [read post]
28 Sep 2017, 12:22 pm
The New York office has responsibility for the largest concentration of SEC-registered financial institutions including more than 4,000 investment banks, investment advisers, broker-dealers, mutual funds, and hedge funds. [read post]
30 Jun 2022, 10:25 am
Securities and Exchange Commission (SEC) has announced a landmark settlement with UBS Financial Services Inc. related to the firm’s Yield Enhancement Strategy (YES). [read post]
12 Jul 2009, 10:44 pm
CNL Holdings Group, Inc. and W.P. [read post]
6 Nov 2023, 11:00 am
According to this FINRA BrokerCheck report, Jason Jodway was affiliated with the following firms during his career, among others: 11/08/2019 – 12/13/2019, ALLSTATE FINANCIAL SERVICES, LLC (CRD#:18272), WATERFORD, MI, B, 09/14/2016 – 12/01/2017, SECURIAN FINANCIAL SERVICES, INC. [read post]
12 Apr 2016, 3:50 pm
Employer and other employee benefit plan sponsors, benefit plan committees and fiduciaries, and the broker-dealers, financial advisors, insurance agents and other plan service providers that provide investment-related platforms, advice, recommendations or other services for employee benefit plans need to reevaluate the fiduciary status of their service providers and begin restructuring as necessary their associated relationships, service provider… [read post]
12 Apr 2016, 3:50 pm
Employer and other employee benefit plan sponsors, benefit plan committees and fiduciaries, and the broker-dealers, financial advisors, insurance agents and other plan service providers that provide investment-related platforms, advice, recommendations or other services for employee benefit plans need to reevaluate the fiduciary status of their service providers and begin restructuring as necessary their associated relationships, service provider… [read post]
17 Oct 2014, 10:12 am
Additionally, Lax & Neville LLP has nationally represented small broker-dealers, investment advisers, financial services professionals and securities industry companies in regulatory matters and securities-related and commercial litigation. [read post]
5 May 2015, 2:20 pm
He is currently a registered broker with Kovack Securities Inc. [read post]
26 Jan 2009, 2:02 pm
The Jan. 15 letter asks for the names of all the advisory firms to which the firm referred clients from 2006 through 2008, all marketing materials used, details of the due diligence done on the advisers and the monitoring services performed for advisory clients, as well as a schedule of fees paid for referral services. [read post]
3 Sep 2015, 8:35 am
A FINRA arbitration panel ordered UBS Financial Services Incorporated of Puerto Rico and UBS Financial Services Inc. [read post]
1 Sep 2023, 6:30 am
CalSTRS Escalates Efforts to Hold Global Companies Accountable for Not Adequately Disclosing Climate Change Risks Posted by Rebecca Forée, and Aeisha Mastagni, California State Teachers’ Retirement System, on Friday, August 25, 2023 Tags: Board of Directors, CalSTRS, Climate change, Proxy season SEC’s New Rules on Use of Data Analytics by Broker-Dealers and Investment Advisers Posted by Hardy Callcott, Jay Baris and Laurie Kleiman, Sidley Austin LLP, on… [read post]
1 Sep 2023, 6:30 am
CalSTRS Escalates Efforts to Hold Global Companies Accountable for Not Adequately Disclosing Climate Change Risks Posted by Rebecca Forée, and Aeisha Mastagni, California State Teachers’ Retirement System, on Friday, August 25, 2023 Tags: Board of Directors, CalSTRS, Climate change, Proxy season SEC’s New Rules on Use of Data Analytics by Broker-Dealers and Investment Advisers Posted by Hardy Callcott, Jay Baris and Laurie Kleiman, Sidley Austin LLP, on… [read post]
23 Jul 2013, 3:04 pm
SIMON ROOFING AND SHEET METAL CORP., Appellee. 3rd District.Torts -- Banks -- Conversion -- Negligence -- Negotiable instruments -- Action by automobile dealer against depository bank and financing banks alleging mishandling of financing checks issued in connection with dealer's provision of vehicles to rental car company which ultimately went out of business without repaying money owed to dealer -- Single-payee checks -- Dealer's claim for statutory conversion of… [read post]
25 Aug 2017, 6:35 am
The SEC issued guidance in 2014 that was helpful, the group advised, but these firms continue to pose a challenge for many companies. [read post]
6 Apr 2020, 8:37 pm
The North American Securities Administrators Association, Inc. [read post]
