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18 Mar 2013, 3:22 pm
In that edition of "IM Guidance Update", the SEC focused on clarifying filing and disclosure requirements associated with investment companies' use of social media, identifying several types of electronic communications and materials on investment companies' websites that are not required to be filed for review by the Financial Industry Regulatory Authority (FINRA). [read post]
25 May 2011, 1:25 pm
Every year, sponsors of pension and profit sharing accounts rely upon custodians like David Lerner & Associates and REITs to provide a value of the investment held in those accounts. [read post]
16 Dec 2018, 8:16 am
” On FINRA’s website the regulator lists attorneys who are members of the Public Investors Arbitration Bar Association (PIABA) as a resource for defrauded investors. [read post]
12 Apr 2021, 9:06 am
Royal Alliance Associates has faced numerous FINRA arbitration complaints from customers seeking to recover investment losses. [read post]
22 Apr 2013, 4:55 pm
State Releases Web Version of Annual Written Examination for Registered Investment Advisers Investment Advisers registered with the State of New Jersey will now be able to complete their Annual Written Examination online. [read post]
26 Mar 2012, 2:48 am
For SPVs that have independent directors, the independent directors are excepted from the condition that they be under the registered investment adviser’s supervision and control, and thus are not “persons associated with” the registered investment adviser. [read post]
13 Dec 2020, 3:25 am
Legal Support (eDiscovery and Computer Forensics Division)Business Intelligence Associates (BIA) 5-Dec-17HAYSTACK ID LLC (Investee)TCF Capital Funding (Support Of Knox Capital Holdings and Maranon Capital) in Recapitalization (Investor)$17.800,000 30-Nov-17E-STETEY 28-Nov-17AllegoryIntegreon 31-Oct-17Avalon Document Services (Merger)C:Dox (Merger) 23-Oct-17NexLP (Investment)Method Capital and Dundee Venture Capital (Investors)$3,000,000 23-Oct-17HAYSTACKID LLC (Investee)Knox… [read post]
21 Apr 2020, 2:04 pm
I also offer competition and regulatory law compliance, education and policy services to companies, trade and professional associations and government agencies. [read post]
2 Jul 2008, 8:31 pm
To get an accurate account of fees associated with all investments, ask your adviser to itemize these four expenses: • Adviser fees. [read post]
7 Sep 2022, 5:17 am
HaystackID® Acquires Business Intelligence Associates appeared first on ComplexDiscovery. [read post]
15 May 2020, 10:52 am
The ILN is proud to announce our latest firm of the month, Ahlawat & Associates, India! [read post]
17 Mar 2023, 2:56 pm
Along with FINRA and the SEC, these may include the North American Securities Administrators Association (NASAA) and U.S. [read post]
31 Mar 2023, 3:00 pm
Securities and Exchange Commission (SEC) recently issued an Investor Alert warning of the fraud risks associated with self-directed IRAs. [read post]
6 Feb 2024, 6:13 am
From February 2014 to December 2017 Lorente was associated with Concorde Investment Services, LLC. [read post]
10 Nov 2021, 1:14 pm
Our attorneys have extensive experience representing victims of securities and investment fraud and frequently speak at top industry conferences, law schools and associations regarding securities and investment fraud. [read post]
10 Dec 2014, 2:18 pm
Association of American Railroads. [read post]
18 Nov 2011, 12:10 pm
As a result of these developments, ALF is stepping up their investigation into this matter and is reaching out to other IMH investors who purchased through brokers employed or affiliated with Ameritas Investment Corporation and/or David White & Associates. [read post]
26 Aug 2021, 10:00 pm
On July 28, 2020, the National Venture Capital Association, the trade association for the venture capital community in the United States, published much-anticipated updates to its model legal documents, which are available for free download on the NVCA’s website. [read post]
26 Aug 2021, 10:00 pm
On July 28, 2020, the National Venture Capital Association, the trade association for the venture capital community in the United States, published much-anticipated updates to its model legal documents, which are available for free download on the NVCA’s website. [read post]
26 Aug 2021, 10:00 pm
On July 28, 2020, the National Venture Capital Association, the trade association for the venture capital community in the United States, published much-anticipated updates to its model legal documents, which are available for free download on the NVCA’s website. [read post]
