Search for: "Principal Portfolio Services, Inc."
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21 May 2024, 9:01 pm
This narrower scope results from a number of critical changes from what the DOL proposed in the fall of 2023 (the “Proposal),2 and these changes limit the primary impact of the Final Rule to service providers in the retail investment space who recommend rollover transactions from an ERISA plan to an IRA or provide investment advice to IRAs, as well as to independent insurance producers who recommend non-securities-based annuities. [read post]
20 Apr 2024, 8:07 am
CS Disco Appoints Eric Friedrichsen as CEO CS Disco, Inc. [read post]
6 Feb 2024, 6:13 am
From June 2015 through February 2017 Bindra was registered with UBS Financial Services Inc. [read post]
18 Dec 2023, 2:48 pm
The proposed disclosure requirements for CPOs include descriptions of principal risk factors for the exempt pool, investment program and use of proceeds, fees, conflicts, and performance. [read post]
15 Nov 2023, 5:10 am
KLDiscovery Inc. [read post]
8 Nov 2023, 10:14 pm
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
20 Jul 2023, 4:00 am
Registering their trade dress on the principal register can save a company that burden. [read post]
3 Apr 2023, 4:53 am
Another, Plattsburgh Taco, Inc. [read post]
14 Mar 2023, 11:54 am
Route Consultant, Inc., 2023 WL 2466624, No. 3:22-cv-00656 (M.D. [read post]
13 Feb 2023, 5:59 am
(“Chicago Pacific”), which controlled P3, as a portfolio company, along with Sameer Mathur, one of Chicago Pacific’s principals who oversaw Chicago Pacific’s investment in P3. [read post]
1 Feb 2023, 9:01 pm
Thank you Thomas [Kim] for that lovely introduction and I’m very pleased to be here at the Securities Regulation Institute giving the Alan B. [read post]
6 Dec 2022, 8:46 am
HMD and VoiceAge EVS, which was set up in 2018 to license Canadian tech company VoiceAge Corp’s enhanced voice services patent portfolio, are fighting in courts in Germany, the United States and Brazil over various patents for technology related to voice calls. [read post]
17 Nov 2022, 12:29 pm
Inc. [read post]
17 Nov 2022, 4:51 am
The firm’s current portfolio includes over 20 U.S. [read post]
6 Oct 2022, 2:11 pm
-based brokerage firms, including Truist Investment Services, Inc. [read post]
2 Oct 2022, 12:47 pm
Advisor Heath Goldstein (Goldstein), currently employed by brokerage firm Western International Securities, Inc. [read post]
25 Jul 2022, 4:49 pm
About Exterro, Inc. [read post]
20 Jun 2022, 12:55 pm
GWG Holdings, Inc. [read post]
6 Jun 2022, 7:41 am
At the time of the foreclosure filing, Select Portfolio Servicing (Select) was the servicer of the plaintiff’s mortgage. [read post]
26 Apr 2022, 12:23 pm
In 2020, the company launched a new offering called the Liquidity Bond 2020, constituting secured debt of GWG Holdings, Inc. [read post]
