Search for: "Moore Capital Advisors, LLC"
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22 Mar 2016, 6:19 am
Since 2006 Moore has been registered with LPL Financial LLC out of the firm’s Alexander City, Alabama office location. [read post]
26 Jul 2011, 1:37 pm
Furthermore, a monitor (employed at this own expense) will ensure that Pia complies with this order for a five-year period and imposes considerable record-keeping and new registration obligations.Previously the CFTC settled similar charges against Moore Capital Management, LP (MCM), Moore Capital Advisors, LLC (MCA) and Moore Advisors, Ltd. [read post]
5 Jul 2022, 9:04 am
Henry Moore LPL Financial LLC Summit Brokerage Services, Inc. [read post]
19 Jun 2023, 2:05 pm
Morgan Securities LLC Donald Smith Provident Private Capital Partners, Inc. [read post]
20 Nov 2020, 7:45 am
Joseph Stone Capital LLC Todd Paynter Cambridge Investment Research, Inc. [read post]
26 Oct 2018, 7:27 am
Morgan Securities LLC Bustamante Family Legacy LLC Daniel Flores Woodbury Financial Services, Inc Princor Financial Services Corporation Jose Giraldo Merrill Lynch, Pierce, Fenner & Smith Inc David Lerner Associates, Inc Joshua Krize Wells Fargo Clearing Services, LLC Country Capital Management Company Francine Lanaia Windsor Street Capital, LP Meyers Associates… [read post]
9 Jul 2018, 12:46 pm
Morgan Stanley DW Inc Cynthia Mae Moore The Huntington Investment Company Felipe De Jesus U Munive Allstate Financial Services, LLC Gordon Beecher Nitka MML Investors Services, LLC MassMutual Life Insurance Company Daniel Ochoa Farmers Financial Solutions, LLC Joshua Alexander Stephens-Anselm JP Morgan Securities LLC Capital One Bank NA John Bradford… [read post]
1 May 2014, 6:40 am
Claimant(s) Respondent(s) Award of Panel 13-00144 RBC Capital Markets LLC Thomas Alexander Hand (1) Respondent to pay Claimant compensatory damages of $237,326.00; (2) Claimant to pay Respondent compensatory damages of $40,000.00. [read post]
28 Jun 2018, 11:56 am
From July 2005 to November 2005, Curtis was registered with Moors & Cabot Financial Advisors, LLC. [read post]
4 Feb 2013, 12:16 am
Burford Group is the investment advisor for Burford Capital, which according to its website is “the world’s largest provider of investment capital and risk solutions for litigation. [read post]
21 Jun 2013, 3:30 am
LLC, an investment management and investment banking firm. [read post]
12 Aug 2008, 2:00 pm
Insurance 3 Ben Silver Fuel Outdoor Acquisitions 3 Alex Yaroslavsky Yaro Group, LLC Mediator 3 David Cassese Apex Appraisal Group Appraisal - Residential 2 Paul Wong Concept Realty NY Commercial Broker 1 Sherri Fried RED STONE TITLE & ABSTRACT, LLC Title Insurance 3 AARON KAGAN STUYVESANT HEIGHTS PROPERTIES LLC INVESTOR/OWNER 2 Franklin Burrowes OODA & Co, Inc Investor / Owner 3 Ronald Gold Gold Appraisal … [read post]
2 Oct 2012, 1:08 pm
Xirinachs, Emerald Asset Advisors LLC, Robert L. [read post]
1 Oct 2012, 3:00 am
Event: Know Yourself and Your Decision-Making Process: A Conversation with Nobel Laureate Daniel Kahneman Location: New York, NY October 16 Sponsor: Investment Adviser Association Event: 2012 Compliance Workshop Location: Boston, MA October 16 Sponsor: NC Department of Secretary of State Event: Investment Adviser Workshop Location: Charlotte, NC October 17 Sponsor: Hedge Funds Care & ParkRiver Fund Solutions Event: Cocktails & Commentary – Navigating Institutional Investor Due… [read post]
15 Feb 2019, 6:14 am
Chamber Center for Capital Markets Competitiveness; and Linda Moore, TechNet, on Wednesday, February 13, 2019 Tags: Conflicts of interest, Engagement, Institutional Investors, Proxy advisors, Proxy voting, SEC, SEC rulemaking, Securities regulation, Shareholder communications, Shareholder proposals, Shareholder voting, Transparency Guidance on Books-and-Records Inspection Rights Posted by William Savitt,… [read post]
1 Sep 2017, 6:49 am
PARKER, Appellants,v.INTERACTIVE BROKERS LLC, Appellee. [read post]
23 Jul 2018, 4:00 am
” Fundamental Portfolio Advisors, Inc. [read post]
