Search for: "Portfolio Investment Exchange, Inc."
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21 May 2024, 9:01 pm
Recommendations The kinds of recommendations that are the subject of the Final Rule’s test track the three categories the DOL had included in its Proposal: Post-Rollover Investments – Recommendations as to the advisability of acquiring, holding, disposing of, or exchanging, securities or other investment property, as to investment strategy, or as to how securities or other investment property should be invested after the… [read post]
16 May 2024, 9:43 am
For instance, the SEC recently settled charges with investment advisers Delphia (USA) Inc. and Global Predictions Inc for allegations that the firms made false and misleading statements about their use of AI. [read post]
9 May 2024, 3:08 pm
Global Predictions offers retail investors non-discretionary investment advice, namely portfolio allocation recommendations, through its proprietary investment application PortfolioPilot and the use of proprietary algorithms. [read post]
7 May 2024, 7:35 am
SEC Charges Osaic Investment Advisers with Violations of the Custody Rule September 2023 – The Securities and Exchange Commission (SEC) has settled charges against four investment advisers owned by Osaic, Inc., previously known as Advisor Group, Inc. [read post]
22 Apr 2024, 1:11 pm
For example, in In re GoHealth, Inc. [read post]
20 Apr 2024, 8:07 am
KLDiscovery Investments Lead to a R [read post]
19 Apr 2024, 9:27 am
Ripple Labs Inc. [read post]
18 Apr 2024, 7:37 am
Collectively, the 5 investment advisers, GeaSphere LLC; Bradesco Global Advisors Inc.; Credicorp Capital Advisors LLC; InSight Securities Inc., and Monex Asset Management Inc., were censured, ordered to cease and desist from further violations of the Investment Advisers Act of 1940, and pay civil penalties ranging from $20,000 to $100,000. [read post]
15 Apr 2024, 6:48 am
” “Litigation finance is a $15.2 billion industry in which investors fund lawsuits in exchange for a portion of any award. [read post]
17 Mar 2024, 7:14 pm
Stifel Nicolaus & Co Inc. [read post]
23 Feb 2024, 4:34 am
DISCO Announces Fourth Quarter and Fiscal Year 2023 Financial Results CS Disco, Inc. [read post]
5 Feb 2024, 2:05 pm
(CRD# 110377) and First Heartland Capital, Inc. [read post]
1 Feb 2024, 9:39 am
At or about the time a couple separates one of the spouses is working for StartUp Inc. [read post]
26 Jan 2024, 8:27 am
If your broker dealer failed to supervise your advisor and you suffered investment losses, you may have recovery options. [read post]
25 Jan 2024, 6:06 pm
ExchangeRight: Essential Income REIT Investment Focus: Tax-advantaged real estate investments, with a portfolio encompassing 943 properties totaling 16 million square feet. [read post]
23 Jan 2024, 9:01 pm
The SEC had charged AllianzGI with abandoning its investment and risk management strategies in the management of the Structural mutual funds. [read post]
21 Jan 2024, 9:01 pm
In Seven & i Holdings Co., Ltd. and 7-Eleven, Inc. [read post]
17 Jan 2024, 5:37 pm
Investors in Lodging Fund REIT III Inc. [read post]
16 Jan 2024, 1:19 pm
Engelmayer in In re: Draftkings Inc. [read post]
18 Dec 2023, 2:48 pm
On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
