Search for: "Investment Management Advisory Group"
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8 Jul 2015, 2:29 pm
SFX Financial Advisory Management Enterprises is wholly-owned by Live Nation Entertainment and specializes in providing advisory and financial management services to current and former professional athletes. [read post]
18 Oct 2018, 12:20 pm
Some of her advisory clients took money out of their retirement accounts to invest with Bennett. [read post]
26 Sep 2017, 6:42 am
WFG Investments works as a subsidiary of Williams Financial Group. [read post]
15 Jan 2020, 9:35 am
By Amy Leisinger, J.D.In the first meeting of the Asset Management Advisory Committee, panelists discussed recent developments in fund investing and the evolution of the asset management industry. [read post]
25 Nov 2012, 10:14 am
The Securities and Exchange Commission (the “SEC”) recently sanctioned an investment advisory firm for impeding examinations conducted by SEC staff. [read post]
12 Sep 2018, 7:29 am
The SEC has filed fraud charges against hedge fund adviser Gregory Lemelson and his Massachusetts based investment advisory firm Lemelson Capital Management LLC. [read post]
12 Jun 2015, 9:01 am
Among other things, Lee Grant informed his former clients that, unless they quickly signed and returned new advisory and custodial documents to become new clients at Sage, the management of their assets at Lee Grant’s previous investment adviser may be disrupted. [read post]
2 Mar 2009, 12:00 am
Ex-Growthworks COO Les Lyall announced today that he has moved from VC investor to fund advisor, joining Kirchner Investment Management Group. [read post]
4 Feb 2016, 7:58 am
Graham, Managing Partner of Fenwick & West LLP’s Seattle office, and Sara Hanks, CEO of CrowdCheck in Alexandria, Virginia, will serve as co-chairs of the committee. [read post]
25 Jul 2022, 11:07 am
Investment Management Company Reportedly Fined for High Mutual Fund… or SEC Charges Western International & Reps with Reg BI Violations… RIAs are Required to Disclose Conflicts of Interest Registered investment advisors are obligated to disclose all material facts to their advisory clients, including any conflicts of interest between it and its clients, which could affect the advisory relationship. [read post]
31 Aug 2023, 4:51 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]
11 Jul 2007, 12:33 pm
Thus, the Fortress Investment Group LLC and The Blackstone Group L.P. are not subject to the substantive provisions of the 1940 Act.The Investment Company Act has two main tests for determining whether an issuer is an investment company. [read post]
12 Mar 2021, 11:31 am
The Grandfather FINRA OBA Paradox (BrokeAndBroker.com Blog)Singapore Resident Charged In Manhattan Federal Court With Fraudulent Pre-IPO Stock Scheme (DOJ Release)SEC Charges Texas Investment Adviser and Two Executives in Connection with $17 Million Energy Fund Fraud (SEC Release)Staff Statement on Investment Company Cross Trading (SEC Division of Investment Management Staff)Remarks at Investor Advisory Committee Meeting (SEC Commissioner Hester M. [read post]
25 Aug 2016, 9:02 am
The Securities and Exchange Commission today announced penalties against 13 investment advisory firms found to have violated securities laws by spreading the false claims made by an investment management firm about its flagship product.An SEC enforcement sweep of investment advisers found that the 13 firms accepted and negligently relied upon claims by F-Squared Investments that its AlphaSector strategy for investing in exchange-traded… [read post]
10 Sep 2023, 11:08 am
The Group Advisory Layer Method (G-A-L Method™) revolutionizes decision-making by merging traditional principles of mastermind groups and advisory boards with the cutting-edge capabilities of generative AI. [read post]
16 May 2018, 12:40 pm
Gerova Financial Group Chairman and Two Others Plead Guilty in Scam to Defraud Native American Tribe and Other Investors Gary Hirst, Jason Galanis, and Hugh Dunkerley have all pleaded guilty to criminal charges related to a scam to defraud a Native American tribal entity and a number of investment advisory clients. [read post]
17 Aug 2022, 6:30 am
The May 31, 2022, law enforcement raids of the Frankfurt offices of Deutsche Bank AG and its asset management unit, DWS Group, over accusations of prospectus fraud and “greenwashing”—generally defined as the practice of making false, misleading or unsubstantiated claims about the environmental and/or social impact of an investment—have asset managers, among other stakeholders, wondering: could similar actions be on the horizon in the U.S.? [read post]
17 Aug 2022, 6:30 am
The May 31, 2022, law enforcement raids of the Frankfurt offices of Deutsche Bank AG and its asset management unit, DWS Group, over accusations of prospectus fraud and “greenwashing”—generally defined as the practice of making false, misleading or unsubstantiated claims about the environmental and/or social impact of an investment—have asset managers, among other stakeholders, wondering: could similar actions be on the horizon in the U.S.? [read post]
25 Jun 2014, 8:49 am
According to the SEC, the firm’s founder and another individual later pocketed some of the transferred investor proceeds to enrich themselves.The SEC alleges that Weston Capital Asset Management LLC and its founder and president Albert Hallac illegally drained more than $17 million from a hedge fund they managed and transferred the money to a consulting and investment firm known as Swartz IP Services Group Inc. [read post]
25 Nov 2020, 11:30 am
The post JPMorgan Hit with $250 Million Fine for Issues in Advisory business appeared first on The White Law Group. [read post]
