Search for: "Wealth Management LLC"
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20 Nov 2016, 5:35 am
Copyright © 2007-2016 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
11 Nov 2016, 1:23 pm
Forcerank kept 10% of the entry fees, and maintained a data set of user behavior and bets that it intended to sell to hedge funds or other wealth managers as insight into crowd perception of certain securities. [read post]
11 Nov 2016, 1:23 pm
Forcerank kept 10% of the entry fees, and maintained a data set of user behavior and bets that it intended to sell to hedge funds or other wealth managers as insight into crowd perception of certain securities. [read post]
6 Nov 2016, 12:00 pm
From the Desk of Jim Eccleston at Eccleston Law LLC: As the population continues to age, FINRA has proposed new regulations that would expand wealth management firms’ responsibilities as well as their scope of action with regard to the financial abuse of the elderly.A proposal was submitted to the SEC by FINRA which would require firms to make “reasonable” efforts to get the contact information for a client’s so-called trusted person. [read post]
1 Nov 2016, 10:23 am
(CMG) and APS Management LLC (APS), along with a business partner. [read post]
31 Oct 2016, 7:47 am
However, according to brokercheck records, Fox has disclosed OBAs listed as including Fox Wealth Management Group, LLC. [read post]
31 Oct 2016, 7:46 am
However, according to brokercheck records, Kuhlow has disclosed OBAs listed as including Peninsula Wealth Management Group, Clear Mark Wealth Management, Cammarano Insurance Services. [read post]
28 Oct 2016, 1:00 am
Holderness, Boston College, on Tuesday, October 25, 2016 Tags: Boards of Directors, Common-law claims, International governance, Investor protection, Ownership structure,Securities regulation Broadening Noteholders’ Ability to Receive Redemption Premiums Following Indenture Defaults Posted by Gregory Fernicola, Skadden, Arps, Slate, Meagher & Flom LLP, on Tuesday, October 25, 2016 Tags: Bankruptcy, Bondholders, Bonds, Covenants, Debt, Debt securities, Debtor-creditor law, Defaults,… [read post]
17 Oct 2016, 3:59 am
He is the logical extension of wealth worship. [read post]
4 Oct 2016, 7:19 am
The Division seeks to permanently bar Morgan Stanley from engaging in these banking and securities cross-selling practices, to censure the firm and impose an administrative fine, and to obtain equitable relief for the firm’s clients (In the Matter of Morgan Stanley Smith Barney LLC, October 3, 2016).According to the complaint, Morgan Stanley created the sales contest to persuade its retail wealth management clients to take out securities-based loans via portfolio… [read post]
29 Sep 2016, 11:24 am
According to the SEC’s order, the illicit payments induced the Libyan Investment Authority sovereign wealth fund to invest in Och-Ziff managed funds. [read post]
28 Sep 2016, 2:08 pm
According to the SEC’s order, the illicit payments induced the Libyan Investment Authority sovereign wealth fund to invest in Och-Ziff managed funds. [read post]
27 Sep 2016, 7:34 am
LPL also plans on cutting prices and easing minimums on some of its internally managed model wealth portfolios in anticipation of the DOL fiduciary rule.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
27 Sep 2016, 6:44 am
The investment advisers, Advantage Investment Management, LLC (“AIM”) and Washington Wealth Management, LLC (“WWM”) failed to disclose receipt of revenue from third-party broker-dealers in the form of forgivable loans and the consequent conflicts of interest. [read post]
27 Sep 2016, 6:44 am
The investment advisers, Advantage Investment Management, LLC (“AIM”) and Washington Wealth Management, LLC (“WWM”) failed to disclose receipt of revenue from third-party broker-dealers in the form of forgivable loans and the consequent conflicts of interest. [read post]
23 Sep 2016, 10:15 am
… [read post]
20 Sep 2016, 1:30 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:The Securities and Exchange Commission has barred Logos Wealth Advisors founder Paul Mata and his fund manager David Kayatta forfraudulently raising more than $14 million from investors. [read post]
12 Sep 2016, 3:14 am
For those interested in learning more about Ben’s scholarship concerning the family-owned business, I recommend the following articles available on SSRN: Non-Market Values in Family Businesses, 54 William and Mary Law Review 1185 (2013) The Contractual Foundation of Family-Business Law, 75 Ohio State Law Journal 675 (2014) Contractual Freedom and Family Business, Research Handbook on Partnerships, LLCs and Alternative Forms of Business… [read post]
4 Sep 2016, 6:56 am
In May 2016 the Department of Justice (DOJ) filed a five-count indictment in New York against nine defendants including Jared Mitchell, the Managing Partner of Mitchell & Sullivan Capital LLC; Richard Brown, a registered broker with Chelsea Financial Services; Christopher Castaldo, the Chief Executive Officer of Stock Traders Press Inc. and the President of Wall Street Buy Sell Hold Inc.; Gerald Cocuzzo, also known as “Gerry,” a registered broker formerly with… [read post]
10 Aug 2016, 1:01 pm
On August 4, 2016, Patrick Churchville, a defendant in an ongoing SEC lawsuit, pled guilty to charges including five counts of wire fraud and one count of tax evasion in connection with orchestrating a $21 million Ponzi scheme and additional misappropriation from funds he advised at ClearPath Wealth Management, LLC in Providence, RI. [read post]
