Search for: "BUSINESS FUNDING ASSOCIATES, INC."
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9 Nov 2022, 11:31 am
The Fund’s investment strategy reportedly involves investments in securities issued by foreign entities, which exposes investors to risks not typically associated with investing in U.S. securities. [read post]
15 Feb 2018, 4:41 pm
Significant for business associates as what appears to be the first announced resolution agreement with a business associate directly charged by OCR with violating HIPAA and the second resolution agreement pursued and reached with a HIPAA-regulated entity in bankruptcy, the FileFax, Inc. [read post]
22 Dec 2020, 9:54 pm
Tim Hortons USA, Inc., No. 20-cv-20878, 2020 U.S. [read post]
24 Feb 2021, 6:00 am
Schillinger Genetics, Inc. v. [read post]
7 Jun 2018, 6:14 pm
Whereas, several of the other Canadian prospectus exemptions, restrict investors to family, friends or business associates. [read post]
30 Jul 2011, 2:31 am
Tomassi Law Associates, LLC www.attorney-ri.com 1-888-RI-LAWLINE WHEATON, Ill., Jul 25, 2011 (BUSINESS WIRE) – First Trust Mortgage Income Fund /quotes/zigman/379547/quotes/nls/fmy FMY -1.22% (the “Fund”), which until April 29, 2011 was known as First Trust/FIDAC Mortgage Income Fund, announced today that shareholders of… [read post]
28 May 2008, 12:46 pm
Harris Associates that courts should play a limited role in reviewing fees charged by mutual fund advisors. [read post]
28 Feb 2021, 12:41 pm
Lerner of David Lerner Associates, Inc. [read post]
15 May 2007, 6:14 pm
You see, Settlement Funding, LLC, which does business as Peachtree Settlement Funding, has held itself out as doing business in our State. [read post]
16 Nov 2023, 6:28 am
The firm and its principal failed to establish, maintain, and enforce a supervisory system to oversee the outside business activities (OBAs) of their registered representatives. [read post]
10 Jun 2018, 6:18 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Kimberly Kitts (Kitts), formerly associated with Royal Alliance Associates, Inc. [read post]
26 Oct 2020, 1:14 pm
Complete Business Solutions Group Inc., which did business as Par Funding, used soliciting agents such as Vagnozzi, Furman, and Gissas to raise money for their company. [read post]
11 Jul 2017, 10:16 am
Indirect Funding Direct Funding Total Funding not acknowledged 131 85 216 Funding acknowledged 29 94 113 150 179 329 Source: Google Academics, Inc. [read post]
5 Sep 2019, 7:21 am
Royal Alliance Associates Inc FSC Securities Corp Woodbury Financial Services Inc Advisor Group In August 2018, the Massachusetts Securities Division was the first to launch its investigation of GPB Capital. [read post]
2 Feb 2010, 12:54 am
The Good, the Bad and Potentially UGLY of UCITS III Hedge Funds Location: London February 10-12 Sponsor: Infocast, Inc. [read post]
28 Sep 2023, 5:56 pm
Desk, Inc. v. [read post]
16 Sep 2013, 3:21 pm
While HHS published a Sample Business Associate Agreement last June to aid Covered Entities and their business associates with understanding the business associate agreement requirements as impacted by the Omnibus Final HIPAA Rule, it also made clear that Covered Entities and their business associates should tailor their business associate agreements to fit their specific circumstances and… [read post]
19 Feb 2021, 1:56 pm
First Landing is an investment fund formed in 2015 and is managed by Vantage Consulting Group, Inc., a Virginia-based SEC-registered investment adviser firm. [read post]
21 Jul 2023, 9:28 am
Additionally, FINRA Rule 2010 mandates that associated individuals maintain high standards of commercial honor and conduct business in a fair and equitable manner. [read post]
2 Jun 2010, 5:23 pm
Event: Annual Meeting & Banquet Location: Boston, Massachusetts June 24-25 Sponsor: ACI (American Conference Institute) Event: Hedge Funds & Investment Advisors Location: New York, New York June 28-30 Sponsor: ICBI (The International Centre for Business Information) Event: SuperReturn Emerging Markets 2010 Location: Geneva, Switzerland June 28-July 1 Sponsor: ICBI (The International Centre for Business Information) Event: Fund Forum… [read post]
