Search for: "PFS Investments, Inc."
Results 21 - 40
of 104
Sort by Relevance
|
Sort by Date
13 Feb 2023, 5:59 am
[ix] While healthcare services are expected to remain a key investment focus for many private equity firms, the risk of False Claims Act (“FCA”) exposure associated with such investments has also grown. [read post]
15 Dec 2022, 8:00 am
District Court for the District of New Hampshire granted the SEC’s motion for summary judgment against LBRY, Inc., holding that LBRY offered a crypto asset in violation of the registration provisions of federal securities laws. [read post]
15 Dec 2022, 4:00 am
District Court for the District of New Hampshire granted the SEC’s motion for summary judgment against LBRY, Inc., holding that LBRY offered a crypto asset in violation of the registration provisions of federal securities laws. [read post]
1 Dec 2022, 7:52 am
American Trust Investment Services, Inc. [read post]
16 Sep 2022, 6:30 am
Securities and Exchange Commission, on Friday, September 9, 2022 Tags: Bitcoin, Cryptocurrency, Financial regulation, Financial technology, Howey test, SEC, Securities regulation, Stablecoins Proposed Additional Amendments to Form PF Posted by Jessica Forbes, Philip Heimowitz, and Mark Highman, Fried, Frank, Harris, Shriver & Jacobson LLP, on Saturday, September 10, 2022 Tags: Cryptocurrency, Disclosure, Form PF, Hedge funds, Institutional Investors, Private equity,… [read post]
19 Aug 2022, 7:33 am
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Roger Arnold PFS Investments Inc Jimmy Cheng J.P. [read post]
11 Mar 2022, 6:01 am
SEC Proposes Additional Private Fund Disclosures Posted by Ellen Kaye Fleishhacker, Robert Holton, and Patrick Derocher, Arnold & Porter LLP, on Friday, March 4, 2022 Tags: Disclosure, Dodd-Frank Act, Form PF, Hedge funds, Institutional Investors, Private equity, Private funds, SEC, SEC rulemaking, Securities regulation The Further Erosion of Investor Protection: Expanded Exemptions, SPAC Mergers, and Direct Listings Posted by… [read post]
4 Mar 2022, 6:01 am
SEC Proposes Substantial Increases to Form PF Reporting Posted by Marc E. [read post]
10 Dec 2021, 4:59 am
Birdthistle (Chicago-Kent College of Law) and Quinn Curtis (University of Virginia), on Monday, December 6, 2021 Tags: Conflicts of interest, DOL, ERISA, Fiduciary rule, Institutional Investors, Investment advisers, Investor protection, Mutual funds, Prudence, Retirement plans, Securities regulation U.S. [read post]
8 Dec 2021, 11:27 am
California-registered investment advisers (“CA RIAs”) that manage pooled investment vehicles and are deemed to have custody of client assets are also subject to independent party surprise examinations. [read post]
8 Dec 2021, 7:27 am
California-registered investment advisers (“CA RIAs”) that manage pooled investment vehicles and are deemed to have custody of client assets are also subject to independent party surprise examinations. [read post]
7 Oct 2021, 6:37 am
On September 15, Coinbase Financial Markets Inc, a subsidiary of Coinbase Global, Inc. [read post]
5 Oct 2021, 8:25 pm
FINRA has barred former PFS Investments Inc. broker Jeffrey Dampf from the securities industry. [read post]
22 Sep 2021, 12:53 pm
Bancorp Investments, Inc. [read post]
22 Sep 2021, 7:58 am
Bancorp Investments, Inc. [read post]
6 Jul 2021, 7:36 am
FINRA launched the investigation after PFS Investments, Inc. discharged Mr. [read post]
28 May 2021, 1:17 pm
PFS Investments Inc. [read post]
28 May 2021, 6:56 am
Stephens Inc. [read post]
Former Financial Advisor Eric Vici BARRED from the Securities Industry by FINRA – Melbourne, Florida
17 May 2021, 11:35 am
Vici was registered with PFS Investments, Inc. in Melbourne, Florida, from November 2012 until October 2019. [read post]
30 Apr 2021, 12:39 pm
Fidelity Investments Charitable Gift Fund prevailed in all aspects of litigation against it in case alleging violation of alleged promises made to two donors to a DAF. [read post]
