Search for: "Investment Management Advisory Group, Inc."
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14 Nov 2023, 9:01 pm
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
14 Nov 2023, 6:31 am
hsCtaTracking=45ff0e63-%207af7-4e28-ba3c-7985d01e390a%7C74c0265a-20b3-478c-846b-69784730ccbd;%20https://7114621.fs1.hubspotusercontentna1.net/hubfs/7114621/2023%20Reports/2023-Investment-Manager-Thematic-Voting-PolicyGL.pdf? [read post]
14 Nov 2023, 6:31 am
hsCtaTracking=45ff0e63-%207af7-4e28-ba3c-7985d01e390a%7C74c0265a-20b3-478c-846b-69784730ccbd;%20https://7114621.fs1.hubspotusercontentna1.net/hubfs/7114621/2023%20Reports/2023-Investment-Manager-Thematic-Voting-PolicyGL.pdf? [read post]
18 Oct 2023, 9:01 pm
Securities and Exchange Commission (SEC) announced a US$19 million settlement with the investment adviser DWS Investment Management Americas Inc. [read post]
3 Oct 2023, 9:01 pm
SEC press release │SEC company order | SEC CFO complaint SEC settles assets recovery and impairment loss disclosure claims In the Matter of Future FinTech Group Inc. [read post]
20 Sep 2023, 5:50 am
The transaction was financed by Woodforest National Bank and NorthCoast Mezzanine, with advisory roles played by Kenyon Group, BakerHostetler, and Moss Adams. [read post]
19 Sep 2023, 7:00 am
The firms were Artemis Wealth Advisors, LLC; Trowbridge Capital Partners, LLC; MRA Advisory Group; McElhenny Sheffield Capital Management, LLC; Macroclimate, LLC; Linden Thomas Advisory Services, LLC; Hansen & Associates Financial Group, Inc.; Elm Partners Management, LLC; BTS Asset Management Inc. and Banorte Asset Management, Inc. [read post]
14 Sep 2023, 12:21 pm
SEC Order – Elm Partners Management LLC SEC Order – Hansen and Associates Financial Group Inc SEC Order – Linden Thomas Advisory Services LLC SEC Order – Macroclimate LLC SEC Order – McElhenny Sheffield Capital Management LLC SEC Order – MRA Advisory Group SEC Order – Trowbridge Capital Partners LLC [read post]
5 Sep 2023, 1:17 pm
The advisory firms are: Lloyd George Management (HK) Limited; Bluestone Capital Management LLC; The Eideard Group, LLC; Disruptive Technology Advisers LLC; and Apex Financial Advisors Inc. [read post]
27 Aug 2023, 7:49 pm
Liddle also allegedly made material misrepresentations about the use of client funds and the risk of client investments to at least 13 advisory clients, many of whom are senior citizens. [read post]
22 Aug 2023, 5:01 am
HBR Consulting, LAC Group, and Wilson Allen Relaunch as Harbor HBR Consulting, LAC Group, and Wilson Allen today announced the launch of Harbor, an expert services provider across strategy, legal technology, operations, and intelligence. [read post]
16 Aug 2023, 9:04 am
If you have concerns regarding investments with Securities America Inc. please call The White Law Group at 888-637-5510. [read post]
10 Aug 2023, 9:31 am
According to a press release on March 2, 2022, the Securities and Exchange Commission charged Cambridge Investment Research Advisors, Inc. [read post]
8 Aug 2023, 11:25 am
According to The Financial Advisor IQ, “The trades were executed in a non discretionary advisory account Nia managed for a community bank, FINRA asserted in letters of acceptance, waiver and consent published this week. [read post]
20 Jul 2023, 10:45 am
SagePoint Financial Inc. [read post]
20 Jul 2023, 10:44 am
On June 6, 2023, the SEC charged Coinbase, Inc. and Coinbase Global, Inc. [read post]
27 Jun 2023, 9:01 pm
Here are ideas that can be grouped into three categories: (1) greater use of private ordering to manage shareholder proposals; (2) exclude proposals on social policy issues that lack a material relationship with the company; and (3) changes to how the Commission staff processes shareholder proposals. [read post]
16 Jun 2023, 6:11 am
Russell Investments Group Ltd. [read post]
13 Jun 2023, 6:31 am
Ciesielski is an the Investment Manager and founder of R.G. [read post]
13 Jun 2023, 6:31 am
Ciesielski is an the Investment Manager and founder of R.G. [read post]
