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10 Jun 2020, 3:56 pm
By Amanda Maine, J.D.Echoing sentiments expressed in earlier correspondence to the SEC, House Financial Services Committee Ranking Member Patrick McHenry (R-NC), urged the Commission to move swiftly to adopt proposed amendments to SEC’s exempt offering framework. [read post]
12 Jun 2014, 11:25 am
If you feel that you have suffered financial losses as a result of the acts of fraud committed by Mr. [read post]
13 Jun 2013, 9:35 am
There are many ways you can minimize taxes on your estate, and a financial advisor, or CPA can advise you as to all of your available options. [read post]
29 Mar 2023, 9:01 pm
We discussed CIRCIA in a prior Debevoise Data Blog post, and the Strategy’s emphasis on improved standards follows the trend of regulators providing rules for certain sensitive regulated industries such as financial services, banking and securities issuers. [read post]
23 Nov 2009, 2:53 pm
 His personal financial ethics are impeccable; the rest of the UN community, however, places little value on financial rectitude by its leader and pines for a Secretary General who is a rock star, like Annan; the whispers and rumors have it that they would not be sorry to see him replaced. [read post]
21 Jul 2015, 6:14 am
During the time that Cypress pursued its tender offer, Ramtron authorized its financial advisor to market the company. [read post]
7 Nov 2023, 7:42 pm
For eight years, he ran Wise Whisper, a strategic advisory practice to financial technology startups, philanthropic initiatives and business leaders. [read post]
18 Oct 2016, 6:44 am
It is probably understood by preneed sellers that the retention of an executed preneed contract includes all documents supplemental to the agreement, such as the description of goods and services. [read post]
27 Dec 2017, 7:37 am
Eglow was previously registered with SunTrust Investment Services, Wells Fargo Advisors, Morgan Keegan & Company, Morgan Stanley Smith Barney, Morgan Stanley & Company, FIA Capital Group, CCC Advisors, Inc. and Drexel Burnham Lambert Incorporated. [read post]
20 Oct 2010, 8:07 am
" The SEC seeks financial penalties, disgorgement of profits, prejudgment interest, and injunctive relief. [read post]
15 Sep 2011, 5:00 am
House Financial Services Committee Chairman Spencer Bachus has introduced the Investment Adviser Oversight Act of 2011. [read post]
8 Aug 2017, 7:43 am
According to FINRA BrokerCheck, Wanner served as a general securities representative at Questar, doing business under the trade name Precision Financial Services, from December 2012 until he was discharged in December 2015 following a cease and desist order issued by the North Dakota Securities Department. [read post]
18 Nov 2020, 7:31 am
Financial Consent Order Service- From £199 For a consent order to be made legally binding by a judge, it will need to be drafted by a solicitor. [read post]
5 May 2018, 1:00 am
After some time, we started adding some financial services planning to that and helping people think about money in that same area. [read post]
27 May 2011, 8:00 am
Inc.; R&H Marketing Concepts Inc.; America Freedom Advisors Inc.; Joseph G. [read post]
7 Nov 2018, 10:00 am
Many people don’t realize that they have substantial digital assets with both sentimental and financial value. [read post]
11 Jun 2020, 9:51 am
A former lead advisor to the Government of Bolivia on its pension project, Ms. [read post]
9 Mar 2021, 2:31 pm
How to Recover Financial Losses When an investor suffers investment losses due to misconduct by a financial advisor or broker-dealer, the investor can file a securities arbitration claim against their financial advisor and/or broker-dealer to be compensated. [read post]
2 Mar 2018, 7:48 am
Department of Labor allowed negligent financial services advisors and companies to force retirement investors into secret, rigged arbitration systems to resolve disputes while preventing them from joining other ripped-off investors in class action lawsuits. [read post]
3 Dec 2022, 6:00 am
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