Search for: "Registered Investment Advisers LLC"
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15 May 2024, 11:44 am
., a registered investment adviser based in New York, and its founder. [read post]
9 May 2024, 2:00 pm
One targeted attorney received an email that states,”Hi, I work with MCJ ASSETS, LLC. [read post]
9 May 2024, 7:29 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [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]
4 May 2024, 8:31 pm
Insight Global LLC, No. 1:21-cv-1335 (M.D. [read post]
2 May 2024, 12:35 pm
RBC Capital Markets (CRD#: 31194/SEC#: 801-13059,8-45411), a dual registered broker dealer and registered investment advisory firm, is headquartered in New York, NY. [read post]
1 May 2024, 10:16 pm
The claim further alleged that LPL Financial LLC unsuitably invested the client in high-risk oil & gas limited partnership investments. [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]
12 Apr 2024, 11:27 am
The SEC charged five broker-dealers, seven dually registered broker-dealers, and four affiliated investment advisers for wide-ranging and persistent deficiencies in maintaining and preserving electronic communications. [read post]
12 Apr 2024, 8:15 am
The Securities and Exchange Commission today announced settled charges against five registered investment advisers for Marketing Rule violations. [read post]
3 Apr 2024, 12:50 pm
The Securities and Exchange Commission today announced charges against registered investment adviser Senvest Management LLC for widespread and longstanding failures to maintain and preserve certain electronic communications. [read post]
23 Feb 2024, 11:06 am
Ex-Morgan Stanley Broker Gary Chang Barred by Securities Regulators According to a press release, Chingyuan “Gary” Chang, a former registered representative and investment adviser representative, settled charges with the Securities and Exchange Commission (SEC) for misappropriating funds from brokerage customers and an advisory client. [read post]
20 Feb 2024, 5:10 am
These entities include, among others, public companies, investment advisers, insurance companies, and tax-exempt entities. [read post]
13 Feb 2024, 8:44 am
This includes corporations, LLCs, and most limited liability partnerships. [read post]
9 Feb 2024, 8:59 am
The Securities and Exchange Commission has issued charges and fines against five broker-dealers, seven dually registered broker-dealers and investment advisers, and four affiliated investment advisers for widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications. [read post]
26 Jan 2024, 1:40 pm
(CRD#: 2882/SEC#: 801-46585,8-13987), based in Windsor, CT, is a dual registered broker dealer and investment advisory firm. [read post]
26 Jan 2024, 8:58 am
Investment companies, investment advisers, securities brokers or dealers, and Exchange or clearing agencies that have registered with the SEC. [read post]
25 Jan 2024, 12:25 pm
The lawsuits reportedly allege that Willy advised clients to invest their retirement funds in risky and unregistered securities issued by Ferrum Capital LLC, a Lubbock-based company. [read post]
25 Jan 2024, 8:35 am
You can use the tool to verify if a broker or brokerage firm is registered with FINRA. [read post]
24 Jan 2024, 1:47 pm
The SEC found that from at least 2011 to 2016, the dual-registered broker-dealer and investment adviser violated federal securities laws by failing to disclose its conflict of interest regarding the selection of mutual fund share classes and its practice of retaining prepaid advisory fees from clients terminating their relationship prematurely. [read post]
