Search for: "Independent Financial Group LLC"
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18 Oct 2018, 4:51 am
Group, Ltd. v Higbridge House Ogden, LLC, 45 AD3d 487, 487 (1st Dept.2007). [read post]
27 Dec 2023, 9:40 am
Tierra Caliente Music Group, S.A., 2023 WL 8480096 (S.D. [read post]
26 Feb 2016, 6:06 am
Posted by Posted by HLS Forum on Corporate Governance and Financial Regulation, on Friday, February 26, 2016 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of February 19, 2016 to February 25, 2016. [read post]
2 Jun 2022, 7:30 pm
Apparently, its independent registered public accounting firm quit in January. [read post]
6 Jun 2010, 3:14 pm
ICAP plc, which has been the best performing financial stock in the FTSE 100 index over the past decade, is one of the world’s most innovative financial services companies. [read post]
15 Nov 2013, 3:32 pm
The attorneys at Cosgrove Law Group, LLC have substantial experience representing individuals in various types of FINRA matters. [read post]
12 Nov 2014, 2:08 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
27 Jun 2018, 6:30 am
Logue entered the securities industry in 1990 and was most recently registered with American Independent Securities Group, LLC from July 2014 to June 2017. [read post]
5 Jul 2022, 8:39 am
Jaime Quintero American Independent Securities Goup, LLC AFA Financial Group, LLC J-waun Smiley Morgan Stanley Charles Schwab & Co., Inc. [read post]
1 Oct 2019, 10:10 am
Financial statements disclosed in a Tier 2 offering must be audited by an independent accountant. [read post]
14 Jul 2017, 8:23 am
CION and Apollo Announce Joint Venture CION Investment Group LLC and Apollo Investment Management LP, the sponsor and sub-adviser of non-traded business development company CION Investment Corporation, are creating a joint venture where both companies will own a 50 percent interest in CION Investment Management LLC, the BDC’s adviser. [read post]
27 Oct 2016, 7:35 am
UDF IV engaged EisnerAmper LLP as its independent accounting firm in June 2016. [read post]
13 Mar 2013, 11:50 am
Since its conception, the ARS market has been concentrated among a group of elite financial institutions that underwrote the issuance of ARS. [read post]
13 Mar 2013, 11:50 am
Since its conception, the ARS market has been concentrated among a group of elite financial institutions that underwrote the issuance of ARS. [read post]
22 Feb 2012, 6:35 pm
Bottom Line Plus, LLC is a member of MAUI (Merchants Against Unfair Interchange), and an independent agent for Interchange Brokerage Company, serving over 2500 company locations, resulting in over $7M in savings to-date in recovery of merchant interchange fees. [read post]
25 Aug 2023, 6:30 am
Securities and Exchange Commission, on Thursday, August 24, 2023 Tags: advisors, Financial regulation, investors, issuers, Monetary policy, Private funds, SEC enforcement, Transparency [read post]
25 Aug 2023, 6:30 am
Securities and Exchange Commission, on Thursday, August 24, 2023 Tags: advisors, Financial regulation, investors, issuers, Monetary policy, Private funds, SEC enforcement, Transparency [read post]
18 Mar 2016, 6:21 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including complying with federal and state laws and rules. [read post]
29 Aug 2011, 1:56 pm
In K&K Screw Products, LLC v. [read post]
7 Feb 2014, 9:24 am
Our regulatory practice group assists financial service providers with the complex issues that arise in the course of their businesses, including compliance with federal and state laws and rules. [read post]
