Search for: "United Advisory Group, Inc"
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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]
2 Aug 2023, 7:22 am
He serves as director at three companies—United States Steel Corp., MetLife Inc., and Lockheed Martin Corp. [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]
26 Jun 2023, 9:01 pm
Sixty years ago, the Supreme Court handed down its decision in United States v. [read post]
16 Jun 2023, 6:11 am
Acquires Stake in Legal Tech Company CS Disco, Inc.: A Promising Investment in a Growing Industry In a recent disclosure with the Securities and Exchange Commission, Russell Investments Group Ltd. revealed their acquisition of a new stake in CS Disco, Inc. [read post]
6 Jun 2023, 8:38 am
Grace & Company, Inc.,; Suzanne Gilbert is a veteran corporate executive with over 30 years of experience with the Interpublic Group of Companies (IPG); Larry Prendergast is Chairman of the Turrell Fund and serves on the advisory boards of several investment funds, including JPMorgan; and Joe Monteleone is a Partner at the Weber Gallagher Simpson Stapleton Fires & Newby LLP law firm. [read post]
2 Jun 2023, 7:54 am
Worldpay is a unit of the big processor FIS Inc. . . . [read post]
24 May 2023, 4:00 am
A local community group, Newtown Preservation Society (“Newtown”), sued the County, contending an EIR should have been prepared instead. [read post]
16 May 2023, 8:21 am
The interest group Public Citizen today filed an opposition brief asking FERC to deny the motion of the state attorneys general (BlackRock, Inc., Docket No. [read post]
6 May 2023, 2:49 pm
Unlike retail investors, institutional investors have legal obligations to vote and access to cost reducing mechanisms such as proxy advisory services. [read post]
4 May 2023, 7:46 am
Stifel, Nicolaus, & Company, Inc., is an independent broker dealer registered in Massachusetts (CRD No. 793). [read post]
20 Apr 2023, 1:20 pm
The SEC’s New Proposed Rule Regarding Safeguarding Advisory Client Assets. [read post]
4 Apr 2023, 5:50 am
Glock, Inc. (9th Cir. 2009)). [read post]
2 Apr 2023, 6:00 am
Transaction valued at approximately $36M. 7-September-2022Business Intelligence Associates, Inc. [read post]
31 Mar 2023, 7:05 am
Yesterday, federal District Judge Reed O'Connor issued a decision in Braidwood Management, Inc. v. [read post]
30 Mar 2023, 10:04 am
This action is related to a $75 million fraud conducted with several undisclosed related-party transactions and advisory fees paid to an entity in Malta. [read post]
30 Mar 2023, 6:52 am
SEC Rule 206(4)-1 (Advisory Contracts) requires investment advisers to disclose any conflicts of interest and obtain written consent from clients before engaging in certain transactions. [read post]
29 Mar 2023, 6:41 am
We will continue monitoring the Manhattan investigation as it unfolds and update this chronology accordingly. *** Beginning around 2004: Former American Media Inc. [read post]
24 Mar 2023, 10:00 pm
In any event, respondent was entitled to submit the affidavit on its cross motion, and the court properly considered it in evaluating the merits of petitioner's claim (see Basis Yield Alpha Fund [Master] v Goldman Sachs Group, Inc., 115 AD3d 128, 134-135 [1st Dept 2014]; see also Guggenheimer v Ginzburg, 43 NY2d 268, 275 [1977]). [read post]
