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5 Jun 2024, 1:45 pm
On May 8, 2024, LPL Financial LLC announced it has closed its acquisition of the wealth management business of? [read post]
3 Jun 2024, 4:31 am
The property was apparently owned and managed through several separate entities, including Maiden Lane Holding LLC, Maiden Lane Capital LLC, and Maiden Lane Development LLC. [read post]
31 May 2024, 12:51 pm
A CRM system can help you manage leads [read post]
7 May 2024, 7:35 am
The group serves 11,000 independent brokers through the following firms, managing $500 billion in client assets. [read post]
2 May 2024, 12:35 pm
He was affiliated with firms like RBC Capital Markets, UBS Financial Services Inc., and Citigroup Global Markets Inc. [read post]
12 Apr 2024, 11:27 am
Northwestern Mutual Investment Services LLC (NMIS), Northwestern Mutual Investment Management Co. [read post]
3 Apr 2024, 8:47 am
In In re SC SJ Holdings, LLC, 2024 WL 1328233 (3rd. [read post]
8 Mar 2024, 11:31 am
Among the firms involved were Northwestern Mutual Investment Services LLC, Guggenheim Securities LLC, Oppenheimer & Co. [read post]
21 Feb 2024, 7:45 am
During the investigation, the SEC discovered that TIAA’s broker-dealer subsidiary, TIAA-CREF Individual & Institutional Services, neglected to provide critical disclosures to retail customers whose finances it managed. [read post]
9 Feb 2024, 8:59 am
Northwestern Mutual Investment Services LLC (NMIS), together with Northwestern Mutual Investment Management Co. [read post]
26 Jan 2024, 1:40 pm
Voya and the unregistered entity had a Variable Marketing Agreement for services related to VUL sales. [read post]
20 Jan 2024, 9:24 pm
” Greater Georgia Amusements, LLC v. [read post]
16 Jan 2024, 6:00 am
Understanding terms like setoff can help make the process less intimidating and more manageable. [read post]
7 Dec 2023, 8:54 pm
Stamer’s work throughout her career has focused heavily on working with health care and managed care, life sciences, health and other employee benefit plan, insurance and financial services and other public and private organizations and their technology, data, and other service providers and advisors domestically and internationally with legal and operational compliance and risk management, performance and workforce management, regulatory and public… [read post]
4 Dec 2023, 4:58 am
The letter also spelled out certain “initial business set-up services and continuing business support services” to be provided by GF to the proposed LLC, including office space and facilities, insurance, human resource management, accounting, IT, marketing, and legal counsel to assist in “forming the partnership and associated agreements to be filed as a legal business entity. [read post]
15 Nov 2023, 6:26 am
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
14 Nov 2023, 9:01 pm
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
1 Nov 2023, 9:01 pm
The JFTC’s investigation appears to have been prompted by an earlier investigation by Japan’s Financial Services Agency into a suspected breach of insurance rules. [read post]
30 Oct 2023, 1:15 pm
“Retail and institutional investors rely on accurate disclosures of the companies that make up a closed-end or mutual fund’s portfolio to evaluate a current or prospective investment in the fund,” said Andrew Dean, Co-Chief of the Enforcement Division’s Asset Management Unit. [read post]
25 Oct 2023, 12:36 pm
“Retail and institutional investors rely on accurate disclosures of the companies that make up a closed-end or mutual fund’s portfolio to evaluate a current or prospective investment in the fund,” said Andrew Dean, Co-Chief of the Enforcement Division’s Asset Management Unit. [read post]
