Search for: "Registered Investment Advisers LLC"
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4 Apr 2016, 6:25 am
In early, Gibson, who had previously advised the fund through a Georgia registered investment adviser called Geier Group, LLC, caused the fund to purchase large quantities of Tanzanian Royalty Exploration Corporation (“TRX”), and Alberta, Canada based gold mining resource company that has never been profitable. [read post]
16 Apr 2018, 6:54 am
Last month, the Securities and Exchange Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings against Valor Capital Asset Management, LLC, a registered investment adviser, and its owner, Robert Mark Magee. [read post]
7 Jan 2014, 10:07 am
The company was a Registered Investment Adviser with Jackson registered as its investment adviser representative. [read post]
22 Feb 2022, 7:00 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
5 Nov 2010, 11:20 am
The Securities and Exchange Commission (SEC) has charged Brewer Investment Group, LLC (a registered investment adviser), Brewer Financial Services, LLC (a registered broker-dealer), Brewer Investment Advisors, LLC (the parent company) and its top executives with the sale of $5.6 million fraudulent and unregistered promissory notes to 74 of its investors. [read post]
27 Jul 2016, 10:31 am
On July 14, 2016, the Securities and Exchange Commission (“SEC”) announced an enforcement action against RiverFront Investment Group, LLC, a registered investment adviser serving as sub-adviser to clients in wrap fee programs established by various sponsors (“RiverFront”). [read post]
12 Aug 2014, 7:00 am
As a registered investment adviser, use of social media by a firm and/or related persons of a firm must comply with applicable provisions of the federal securities laws, including the laws and regulations under the Investment Advisers Act of 1940 (“Advisers Act”). [read post]
28 Feb 2020, 5:48 am
This bars him from working as a registered investment adviser (RIA) in Texas. [read post]
25 Jan 2019, 12:10 pm
Demonstrating its regulatory interest in the robo adviser industry, on December 21, 2018, the Securities and Exchange Commission issued an Order Instituting Administrative and Cease-and-Desist Proceedings against Wealthfront Advisers, LLC, a registered investment adviser which uses a software-based “robo adviser” platform in servicing its clients. [read post]
2 Mar 2010, 2:40 pm
On March 2, 2010, the SEC settled administrative charges against Sharath Sury (Sury), the former Chief Executive Officer of S4 Capital, LLC, and against S4 Capital, LLC (S4 Capital), an investment adviser registered with the Commission. [read post]
7 Jan 2011, 9:57 am
Kowalewski and his North Carolina based investment advisory firm, SJK Investment Management, LLC, following allegations that the registered investment adviser has defrauded investors in two funds managed by SJK Investment Management. [read post]
16 Dec 2011, 7:05 pm
If you believe that a registered investment adviser or broker-dealer may have defrauded you, please contact our securities fraud law firm. [read post]
18 Jan 2024, 1:30 pm
Cabot Lodge Securities LLC, (CRD#: 159712/SEC#: 8-69009) headquartered in Schaumburg, IL, is dually registered as an investment adviser and broker-dealer. [read post]
1 Sep 2017, 8:28 am
As stated in the SEC’s complaint, Camarco was a registered representative and investment adviser representative of LPL Financial LLC (“LPL”) from February 2004 through August 2017. [read post]
20 Apr 2021, 2:46 pm
International Assets Advisory, LLC is a broker-dealer and registered investment advisor (RIA) headquartered in Orlando, Florida. [read post]
22 Oct 2019, 9:51 am
**In the Matter of Three Bridge Wealth Advisors, LLC, Investment Advisers Act Release No. [read post]
22 Oct 2019, 9:51 am
**In the Matter of Three Bridge Wealth Advisors, LLC, Investment Advisers Act Release No. [read post]
15 Mar 2019, 12:26 pm
The Securities and Exchange Commission today charged Talimco LLC, a registered investment adviser, and Grant Gardner Rogers, the former chief operating officer of the firm, with manipulating the auction of a commercial real estate asset on behalf of one client for the benefit of another. [read post]
28 Sep 2023, 1:37 pm
Timothy Tremblay Has Been a Registered Broker Since 1983 According to his Brokercheck, Timothy Tremblay has been registered as a broker and investment adviser with Centaurus Financial Inc. in California since 2003. [read post]
28 Sep 2023, 1:37 pm
Timothy Tremblay Has Been a Registered Broker Since 1983 According to his Brokercheck, Timothy Tremblay has been registered as a broker and investment adviser with Centaurus Financial Inc. in California since 2003. [read post]
