Search for: "Mutual Management Services LLC"
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9 Oct 2023, 1:52 pm
LLC, No. 23-51 (U.S. [read post]
21 Sep 2023, 9:01 pm
WHAT WE’RE READING THIS WEEK In a forthcoming article in the Penn State Law Review, Eric Hess, Managing Counsel of Hess Legal Counsel LLC, argued that regulators and stakeholders should consider using a collaborative approach to regulating decentralized finance in place of a top-down approach. [read post]
8 Sep 2023, 12:51 pm
The firm reportedly manages $458 billion in assets. [read post]
6 Sep 2023, 9:20 pm
The REITs reportedly involved in this case did not have their own employees but were managed externally by Legacy Hospitality II LLC and Legendary Capital REIT III LLC. [read post]
1 Sep 2023, 6:44 am
(CRD# 7059) of New York, NY, and LPL Financial LLC (CRD# 6413) of Ardsley, NY. [read post]
18 Aug 2023, 9:04 am
Advisory services offered through Per Stirling Capital Management, LLC. [read post]
17 Aug 2023, 10:49 am
The White Law Group is investigating potential claims involving Northwestern Mutual Investments Services. [read post]
20 Jul 2023, 2:09 am
For this service, brokerage firms are generally paid a high commission, often 7% or higher (a 7% up front commission is well in excess of the commissions offered financial advisors selling annuities or mutual funds, which creates an inherent conflict of interest for advisors recommending DST investments). [read post]
20 Jul 2023, 1:25 am
This article examines how Florida Workers’ Compensation system manages claims involving violence in the workplace, including possible doctrines and defenses that may preclude coverage. [read post]
7 Jul 2023, 1:24 pm
The White Law Group reviews the regulatory history of Wells Fargo Clearing Services, LLC. [read post]
5 Jul 2023, 12:52 pm
The firm is a full-service broker dealer with close to 565 registered representatives who operate from 69 branch offices. [read post]
20 Jun 2023, 8:17 am
Holts purportedly falsely told these investors that he would invest their money in securities of mutual funds offered by investment management firm Invesco Ltd. [read post]
16 Jun 2023, 12:11 pm
Darren Hathaway and Oaklawn Hospital violated the FCA and the AKS when Oaklawn refused to hire Martin to maintain its mutual flow of patient referrals from Hathaway. [read post]
17 May 2023, 11:30 am
The White Law Group reviews the regulatory history of MML Investors Services LLC. [read post]
16 May 2023, 9:18 am
The firm reportedly had $474 million in revenue in 2022, with $23.8 billion in assets under management and 1,052 advisors. [read post]
9 May 2023, 9:01 pm
First, the rule allows voting stockholders to make their own ad hoc choice of nominees from the slates proposed by management, on one hand, and by the nominating stockholder, on the other. [read post]
17 Apr 2023, 12:40 pm
Investment Management Company for breaches of its fiduciary duty to its clients in connection with its selection of mutual funds that benefited its parent company. [read post]
12 Apr 2023, 8:25 am
The money is managed by a professional money manager who uses a wide range of strategies to try to earn above-average returns. [read post]
5 Apr 2023, 2:05 pm
While soliciting individual advisory clients to invest in mutual fund strategies managed by Atlas, Packerland purportedly recommended the purchase of a certain class of mutual fund shares that imposed a 1% annual service fee, while failing to disclose that a lower-cost but otherwise identical share class was available. [read post]
30 Mar 2023, 6:52 am
Velten purportedly encouraged them to surrender their annuities and sell mutual fund holdings away from the firm and use the proceeds to purchase bonus an [read post]
