Search for: "Investment Management Advisory Group, Inc."
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20 Sep 2023, 5:50 am
The transaction was financed by Woodforest National Bank and NorthCoast Mezzanine, with advisory roles played by Kenyon Group, BakerHostetler, and Moss Adams. [read post]
19 Sep 2023, 7:00 am
The firms were Artemis Wealth Advisors, LLC; Trowbridge Capital Partners, LLC; MRA Advisory Group; McElhenny Sheffield Capital Management, LLC; Macroclimate, LLC; Linden Thomas Advisory Services, LLC; Hansen & Associates Financial Group, Inc.; Elm Partners Management, LLC; BTS Asset Management Inc. and Banorte Asset Management, Inc. [read post]
14 Sep 2023, 12:21 pm
SEC Order – Elm Partners Management LLC SEC Order – Hansen and Associates Financial Group Inc SEC Order – Linden Thomas Advisory Services LLC SEC Order – Macroclimate LLC SEC Order – McElhenny Sheffield Capital Management LLC SEC Order – MRA Advisory Group SEC Order – Trowbridge Capital Partners LLC [read post]
5 Sep 2023, 1:17 pm
The advisory firms are: Lloyd George Management (HK) Limited; Bluestone Capital Management LLC; The Eideard Group, LLC; Disruptive Technology Advisers LLC; and Apex Financial Advisors Inc. [read post]
27 Aug 2023, 7:49 pm
Liddle also allegedly made material misrepresentations about the use of client funds and the risk of client investments to at least 13 advisory clients, many of whom are senior citizens. [read post]
22 Aug 2023, 5:01 am
HBR Consulting, LAC Group, and Wilson Allen Relaunch as Harbor HBR Consulting, LAC Group, and Wilson Allen today announced the launch of Harbor, an expert services provider across strategy, legal technology, operations, and intelligence. [read post]
16 Aug 2023, 9:04 am
If you have concerns regarding investments with Securities America Inc. please call The White Law Group at 888-637-5510. [read post]
10 Aug 2023, 9:31 am
According to a press release on March 2, 2022, the Securities and Exchange Commission charged Cambridge Investment Research Advisors, Inc. [read post]
8 Aug 2023, 11:25 am
According to The Financial Advisor IQ, “The trades were executed in a non discretionary advisory account Nia managed for a community bank, FINRA asserted in letters of acceptance, waiver and consent published this week. [read post]
20 Jul 2023, 10:45 am
SagePoint Financial Inc. [read post]
20 Jul 2023, 10:44 am
On June 6, 2023, the SEC charged Coinbase, Inc. and Coinbase Global, Inc. [read post]
27 Jun 2023, 9:01 pm
Here are ideas that can be grouped into three categories: (1) greater use of private ordering to manage shareholder proposals; (2) exclude proposals on social policy issues that lack a material relationship with the company; and (3) changes to how the Commission staff processes shareholder proposals. [read post]
16 Jun 2023, 6:11 am
Russell Investments Group Ltd. [read post]
13 Jun 2023, 6:31 am
Ciesielski is an the Investment Manager and founder of R.G. [read post]
13 Jun 2023, 6:31 am
Ciesielski is an the Investment Manager and founder of R.G. [read post]
12 Jun 2023, 2:08 pm
Cetera Advisors LLC allegedly unsuitably invested its clients in Hospitality Investors Trust Inc. and other alternative investments. [read post]
6 Jun 2023, 8:38 am
Grace & Company, Inc.,; Suzanne Gilbert is a veteran corporate executive with over 30 years of experience with the Interpublic Group of Companies (IPG); Larry Prendergast is Chairman of the Turrell Fund and serves on the advisory boards of several investment funds, including JPMorgan; and Joe Monteleone is a Partner at the Weber Gallagher Simpson Stapleton Fires & Newby LLP law firm. [read post]
17 May 2023, 12:30 pm
Meredith’s firm, KM Advisory Services, allegedly breached its fiduciary duty in connection with its receipt of mutual fund fees and commissions in the form of sales “loads” from advisory client investments without fully and fairly disclosing the conflicts of interest arising from its receipt of that compensation. [read post]
17 May 2023, 11:30 am
The Mass. broker was also registered as an investment advisor with Capital Planning Group of Massachusetts, Inc. [read post]
16 May 2023, 8:21 am
On April 6, 2023, BlackRock filed schedules for MetLife, Inc., Apollo Global Management, Inc., Packaging Corporation of America, POSCO Holdings Inc., Via Renewables, Inc. and WestRock Company. [read post]
