Search for: "Investment Management Advisory Group"
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28 Feb 2015, 6:30 am
NAI Global provides a full-range of corporate real estate services, including brokerage and leasing, property and facilities management, real estate investment and capital market services, due diligence, global supply chain consulting and related advisory services. [read post]
16 Sep 2013, 8:05 am
Scott registered his firm ACI Capital Group as an investment adviser and then embarked on a series of fraudulent schemes targeting individual investors and small businesses. [read post]
22 May 2012, 1:37 pm
Appropriate management of retirement and other employee benefit plan assets is a key obiligation of employee benefit plan investment advisors and other fiduciaries that have authority over plan assets. [read post]
11 May 2017, 7:30 am
From his perspective as an investment manager, the JOBS Act is a “total home run,” he said. [read post]
16 Apr 2010, 8:21 am
The SEC previously charged Morris and Loglisci for orchestrating the fraudulent scheme that extracted kickbacks from investment management firms seeking to manage the assets of the Retirement Fund. [read post]
26 Oct 2011, 6:04 am
Recently selected for induction as a Fellow in the American College of Employee Benefit Council and for extensive work and accomplishments in the employee benefits area, immediate past Chair of the American Bar Association (ABA) RPTE Employee Benefits & Other Compensation Group and current Co-Chair of its Welfare Benefit Committee, Vice-Chair of the ABA TIPS Employee Benefits Committee, a council member of the ABA Joint Committee on Employee Benefits, and past Chair of the ABA… [read post]
17 Nov 2015, 10:02 am
For example, in Pekin Singer Strauss Asset Management, available here, the SEC charged an investment advisory firm and its president with violations involving compliance failures, but did not charge the adviser’s CCO, who had allegedly warned the firm that he did not have the resources to fulfill his compliance responsibilities. [read post]
21 Jan 2011, 2:14 pm
These issues are complicated by the diversity of the investment adviser industry and strong industry opposition.The diversity of the investment advisory industry, ranging from small, locally-operated financial planning firms to global money managers suggests the potential for multiple SROs, each of which could oversee a different type of investment adviser. [read post]
17 Apr 2012, 10:05 pm
A Fellow in the American College of Employee Benefit Council, immediate past Chair of the American Bar Association (ABA) RPTE Employee Benefits & Other Compensation Group and current Co-Chair of its Welfare Benefit Committee, Vice-Chair of the ABA TIPS Employee Benefits Committee, a council member of the ABA Joint Committee on Employee Benefits, and past Chair of the ABA Health Law Section Managed Care & Insurance Interest Group, Ms. [read post]
27 Jun 2023, 9:05 pm
An increasing number of consultancies, financial technology firms, data providers, and investment advisory groups offer information about localized physical climate risks like floods, hurricanes, and wildfires. [read post]
28 Sep 2011, 2:27 pm
Other defendants in the investor lawsuit include the following: Rahfco Funds LP, Rahfco Select, Rahfco Management Group, Rahfco Investment Funds LP, Gibraltar Partners dba Gibraltar Partners Inc., Gibraltar Funds dba Gibraltar Funds Inc., Anthony Johnson, Robert Johnson, Christine Johnson, individually and dba Arc Ventures, Allison Johnson, Robert Johnson Sr., Annette Johnson, Randal K. [read post]
20 May 2016, 6:16 am
(“SPC”) and one of its accountants, finding that SPC and the accountant conducted deficient surprise audits of investment adviser SFX Financial Advisory Management Enterprises (“SFX”). [read post]
6 Nov 2012, 1:27 am
Investors in various mutual funds managed by Principal Financial Group filed a derivative action under Section 36(b) of the Investment Company Act of 1940 in Iowa federal court in late October, alleging that the company charged excessive fees. [read post]
22 Aug 2017, 6:46 am
On August 2, 2017, a federal court in Connecticut ordered Steven Hicks (“Hicks”), a hedge fund manager, and his hedge fund advisory firms to pay almost $13 million. [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]
19 Dec 2011, 5:00 am
Sources: Investment Adviser Oversight: Economic Analysis of Options (.pdf) by the Boston Consulting Group Advisory firms would pay twice as much with Finra as regulator: Study by Mark Schoeff Jr.in Investment News RIAs would pay nearly double annually if FINRA were their SRO, study claims in IA Watch (subscription required) SEC Study on Enhancing Investment Adviser Examinations – prior post on Compliance Building [read post]
19 May 2014, 10:29 pm
Carlyle Investment Management LLC (CIM) served as CCC’s investment manager pursuant to an investment Management Agreement (IMA). [read post]
10 Dec 2014, 6:24 am
But in many situations, that investment vehicle may not be an investment advisory client. [read post]
2 Dec 2017, 12:00 am
For more information, visit Medina Law Group or Private Client Capital Group. [read post]
8 Sep 2016, 8:04 am
If you have invested in American Finance Trust and/or American Realty Capital Retail Centers and would like to speak to a securities attorney about the potential to recover your investment losses, please call The White Law Group at 1-888-637-5510 for a free consultation. [read post]
