Search for: "Prudential Investment Management Services LLC"
Results 21 - 38
of 38
Sort by Relevance
|
Sort by Date
4 Jan 2017, 3:55 pm
A manager must file a Form 13F if it exercises investment discretion with respe [read post]
26 Aug 2016, 1:43 pm
Analysis: Section 36(b) of the Investment Company Act of 1940 provides that an investment advisor of a registered investment company has a fiduciary duty with respect to “receipt of compensation for services. [read post]
19 May 2016, 1:23 pm
And no majority opinion has explicitly held that Zivotofsky I eliminated the prudential factors, though a few concurrences seem to point in that direction (see, e.g., Judge Krause’s concurrence in In re One2One Communications, LLC). [read post]
4 Jun 2015, 11:30 am
Stone was Managing Director and head of the Mortgage and Asset-Backed Group at Prudential Bache. [read post]
4 Jun 2015, 11:30 am
Stone was Managing Director and head of the Mortgage and Asset-Backed Group at Prudential Bache. [read post]
20 Mar 2014, 9:54 am
The remaining income payments can vary depending on the performance of the managed portfolio. [read post]
13 Nov 2012, 11:54 am
Prudential-Bache Securities, Inc., 719 F. [read post]
22 Jun 2011, 6:07 pm
Prospect, IL 60056-5788 AMERICAN SERVICE FINANCE CORPORATION DBA MERCHANTS INTERSTATE COLLECTION AGENCY 640 PLAZA DR STE 310 HIGHLANDS RANCH, CO 80129 AMERIQUEST RECOVERY SERVICES LLC 1845 HIGHWAY 93 SOUTH STE 310 KALISPELL, MT 59901 AMSHER COLLECTION SERVICES INC 600 BEACON PKY STE 300 BIRMINGHAM, AL 35209 APEX FINANCIAL MANAGEMENT LLC 1120 LAKE COOK RD BUFFALO GROVE, IL 60089 APOLLO CREDIT AGENCY INC DBA WESTERN… [read post]
22 Jun 2011, 6:07 pm
Prospect, IL 60056-5788 AMERICAN SERVICE FINANCE CORPORATION DBA MERCHANTS INTERSTATE COLLECTION AGENCY 640 PLAZA DR STE 310 HIGHLANDS RANCH, CO 80129 AMERIQUEST RECOVERY SERVICES LLC 1845 HIGHWAY 93 SOUTH STE 310 KALISPELL, MT 59901 AMSHER COLLECTION SERVICES INC 600 BEACON PKY STE 300 BIRMINGHAM, AL 35209 APEX FINANCIAL MANAGEMENT LLC 1120 LAKE COOK RD BUFFALO GROVE, IL 60089 APOLLO CREDIT AGENCY INC DBA WESTERN… [read post]
31 Mar 2011, 9:43 am
Neil Skekhter; NMS Properties, Inc.; 15394 NM, LLC; and NMS/JSM San Lorenzo, LLC. [read post]
22 Nov 2010, 9:01 am
”The investigation has touched a number of companies, the Journal said, including: Primary Global Research LLC, Goldman Sachs Group Inc., Broadband Research LLC, First New York Securities LLC, Ziff Brothers, Jana Partners LLC, TPG-Axon Capital Management, Prudential Financial Inc.'s Jennison Associates asset-management unit, UBS AG's UBS Financial Services Inc. unit, and Deutsche Bank AG.Insider-trading charges… [read post]
13 Oct 2010, 4:20 pm
She says that I claim to have been the CEO of The 4th Floor LLC, which is absolutely correct… I do claim that. [read post]
10 Sep 2010, 1:00 pm
Newcastle Realty Services Nixon Peabody Northfield Advisors LLC NorthMarq Capital Olshan Grundman Omni New York LLC Online Marketing Group Peak Capital Partners Peyton Properties Philton Contracting, LLC Prana Investments Property Holdings, Inc Prudential Douglas Elliman Pryor Cashman LLP R. [read post]
14 Jun 2010, 8:39 am
For example, a $600 million global settlement involving Prudential Securities’ registered representatives defrauding mutual funds. [read post]
2 Jun 2010, 4:12 am
The firm has divisions that range from Investment Banking to Retirement Plan Services, to the Retail Brokerage to Derivatives, to International and Private Banking, to so many others that I couldn’t possibly list them. [read post]
18 Jan 2010, 5:24 pm
Pruco Securities, LLC (CRD #5685, Newark, New Jersey) and Prudential Investment Management Services LLC (CRD #18353, Newark, New Jersey) submitted a Letter of Acceptance, Waiver and Consent in which they were censured, fined $525,000, jointly and severally, and required to conduct an audit and prepare written findings regarding their compliance with NASDrules relating to the filing, approval and recordkeeping requirements for advertisements and… [read post]
12 Aug 2008, 2:00 pm
Loss Mitigation Services, Inc. [read post]
11 Jan 2007, 12:23 am
Group LLC NEW YORK COUNTYAlternative Dispute ResolutionCourt Confirms Arbitration Award Requiring Prudential to Share in Investment Losses Matter of Sahni v. [read post]
