Search for: "Harbor Investment Advisory, LLC"
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25 Feb 2019, 10:17 am
Winslow, CFP, CPWA, CRPC, the director and portfolio manager at Harbor Investment Advisory LLC in Lutherville, has earned the Certified Private Wealth Advisor designation awarded by the Investments & Wealth Institute®. [read post]
25 Feb 2019, 9:14 am
Fox, CPWA, managing director at Harbor Investment Advisory LLC in Lutherville, earned the Certified Private Wealth Advisor certification, which is an advanced professional certification for advisers who provide the breadth of specialized skills required to meet the needs of high-net-worth clients. [read post]
7 Feb 2020, 1:29 pm
The firm has been licensed as a member brokerage firm with FINRA since 1971 and has carried its registration as an investment advisory firm with the Securities and Exchange Commission (SEC) since 1983. [read post]
1 Apr 2010, 4:51 pm
Young operated an investment advisory business in Kennett Square, Pennsylvania, which was known by various names including Acorn Capital Management II LP, Acorn Capital Management LLC, and Acorn II LP. [read post]
30 Jul 2009, 11:44 am
In its Advisory Opinion 09-09 released yesterday, the Office of Inspector General (OIG) analyzed a situation in which a Hospital and an LLC (Surgeon LLC), owned by seven orthopedic surgeons (Surgeon Investors), would jointly own a company that will own and operate an ASC (Hospital-Surgeon ASC). [read post]
23 Oct 2007, 5:46 pm
In the Galleria area of Houston is Guardian Wealth Management LLC, a Registered Investment Advisory Firm with an interesting business model: To provide a home for stockbrokers who want to retire or pursue another career - and continue to get paid! [read post]
20 May 2013, 7:31 am
LLC and RBC Capital Markets LLC after the ambulance service business' $438 million sale to Warburg Pincus LLC two years ago. [read post]
27 Jan 2015, 8:22 pm
Madoff Investment Securities LLC, ___ F.3d ___, 2014 WL 6863608 (2d Cir. 2014), the U.S. [read post]
27 Jan 2015, 8:22 pm
Madoff Investment Securities LLC, ___ F.3d ___, 2014 WL 6863608 (2d Cir. 2014), the U.S. [read post]
27 Jan 2015, 8:22 pm
Madoff Investment Securities LLC, ___ F.3d ___, 2014 WL 6863608 (2d Cir. 2014), the U.S. [read post]
22 Sep 2018, 9:00 am
From an anti-kickback perspective, there is a safe harbor for a straight, passive investment in an entity. [read post]
28 Jan 2019, 11:42 am
Just a week before Christmas, the SEC announced the assessment of a $100,000 penalty as part of an administrative settlement it reached with Ancora Advisors LLC, a Cleveland-based investment advisory firm. [read post]
18 Oct 2011, 2:09 pm
The OIG found that the following harbors were potentially applicable: the small entity investment safe harbor and the safe harbors for space rental, equipment rental, and for personal services and management contracts. [read post]
7 May 2010, 2:34 pm
Thorn Energy, LLC, 2010 WL 1712236 (S.D.N.Y. [read post]
3 Jan 2012, 9:21 pm
F-Squared is a privately held SEC registered investment advisory firm providing investment advisory and portfolio management services for financial professionals, wealth managers, and institutional investors. [read post]
21 Jun 2013, 3:30 am
LLC, an investment management and investment banking firm. [read post]
17 Sep 2017, 7:30 pm
Before you invest in one or both of the offerings by the trusts, you should read the prospectus in that registration statement related to that offering and other documents that The National Collegiate Funding LLC has filed with the SEC for more complete information about The National Collegiate Funding LLC, the trusts, the securitization transactions, the student loans and the offerings. [read post]
28 Jan 2019, 11:42 am
Just a week before Christmas, the SEC announced the assessment of a $100,000 penalty as part of an administrative settlement it reached with Ancora Advisors LLC, a Cleveland-based investment advisory firm. [read post]
27 Oct 2017, 6:24 am
References to “NASDAQ” will be changed to “Nasdaq” References to “The NASDAQ Stock Market LLC” or “NASDAQ Stock Market LLC” will be changed to “The Nasdaq Stock Market LLC” President Trump Signs Bill Directing SEC to Expand Safe Harbor for Certain Investment Fund Research Reports The amended Rule will expand the safe harbor for research reports that are not deemed to be… [read post]
27 Sep 2011, 2:05 am
Below are two cases involving deficiencies in soft dollar disclosure practices: In Schultze Asset Management LLC, et al., Investment Advisers Act Release No. 2633 (Aug. 15, 2007), the SEC sanctioned Schultze Asset Management (“SAM”) for violations of Section 206(1) and 206(2) because SAM’s disclosures to an advisory client indicated that SAM was using “client commissions generated by the account only for expenses covered by the safe… [read post]
