Search for: "PFS Investments, Inc."
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6 Mar 2018, 8:02 am
Sara Wilhite PFS Investments Inc. [read post]
15 Dec 2017, 9:01 am
For SEC registered investment advisers who are adding cryptocurrencies to their fund investment programs and for cryptocurrency focused fund managers who may be relying on SEC exemptions from registration, the need to understand the regulatory implication of certain practices is of utmost importance. [read post]
15 Dec 2017, 9:01 am
For SEC registered investment advisers who are adding cryptocurrencies to their fund investment programs and for cryptocurrency focused fund managers who may be relying on SEC exemptions from registration, the need to understand the regulatory implication of certain practices is of utmost importance. [read post]
13 May 2017, 8:36 am
Babyak has also disclosed his outside business activities as including Precision Financial Services, Inc. and PFS Partners. [read post]
5 May 2017, 6:00 am
by Keith Paul Bishop The SEC gathers the data from Form PFs. [read post]
27 Apr 2017, 10:13 am
In an Order issued against the Coinflip, Inc. platform (“Coinflip”), the CFTC imposed sanctions against Coinflip for operating a facility for trading Bitcoin derivatives without being registered as a futures exchange or swap execution facility. [read post]
11 Apr 2017, 3:01 pm
(Pix © Larry Catá Backer 2016) I will be teaching a course on Corporate Social Responsibility. [read post]
21 Jan 2017, 11:42 am
The FINRA investigation followed De Leeuw’s termination from his previous employer, PFS Investments Inc. [read post]
20 Sep 2015, 9:41 am
The Financial Industry Regulatory Authority (FINRA) barred (FINRA AWC No. 20150454876-01) former PFS Investments, Inc. [read post]
8 Apr 2015, 3:17 pm
The Financial Industry Regulatory Authority (FINRA) recently sanctioned and barred broker Michael Korson (Korson) concerning allegations that from February 2011 through August 2012, Korson failed to disclose to PFS Investments, Inc. [read post]
4 Mar 2015, 6:36 am
Blasik first became registered with FINRA through his association with a member firm in 2001 through PFS Investments Inc. [read post]
18 Jul 2014, 10:40 am
Under the Rule, RIAs with custody that manage pooled investment vehicles must provide notice of such custody on the Form ADV. [read post]
2 Jan 2014, 7:33 am
Key was registered with PFS Investments, Inc. in Baton Rouge, Louisiana from June 2007 through May 2012. [read post]
5 Sep 2013, 5:58 am
Kmetz was a registered representative at PFS Investments, Inc. from July 16, 2001 to March, 13, 2003. [read post]
3 Jun 2013, 10:11 am
, Respondent (AWC 2011029621801, May 9, 2013).Cox first became registered in 1987 with PFS Investments, Inc., where he remained until his November 8, 2011 termination. [read post]
24 Apr 2012, 8:00 am
Manpower: Pursuing investors takes time, and for many firms, that means time away from other tasks, including investment management. [read post]
19 Apr 2012, 7:42 pm
The Schedule 1 Foundations include, among others, The Dayle H & Michael Katz Foundation Inc. [read post]
27 Jun 2011, 1:29 pm
We vacate those portions of the award concerning Dairyland's investment in PFS and remand for further proceedings. [read post]
14 Jun 2011, 11:56 am
Lautenberg, and (ii) the Section 501(c)(3) private foundations formed by the owners of the New York Mets: the Judy & Fred Wilpon Family Foundation, Inc., and the Iris & Saul Katz Family Foundation, Inc. [read post]
29 Apr 2011, 8:56 am
Lautenberg, and its investment with Madoff. [read post]
