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28 Mar 2016, 3:28 am
The petitioner’s allegations concerning the operating agreement, if true, establish that the stated purpose of the LLC did not include the petitioner’s participation in management decisions (see Matter of Eight of Swords, LLC, 96 AD3d 839, 840). [read post]
25 Mar 2016, 7:00 am
A former risk officer at Morgan Stanley Smith Barney LLC has filed suit claiming he was fired for reporting a variety of infractions by the firm's registered representatives, including the churning of preferred securities by a star broker the firm recruited last year from rival Bank of America Merrill Lynch.Chief among the claims was that late last year, he discovered that one of the firm's newest wealth managers “was flipping preferred securities in a… [read post]
23 Mar 2016, 11:48 am
Marty Nachemson is a partner at Prosperian Wealth Management. [read post]
29 Feb 2016, 8:47 am
The management structure for both licensed and unlicensed FTCs are dependent on whether the FTC is a corporation or an LLC. [read post]
8 Feb 2016, 1:46 pm
Peter Minshall, managing partner at Washington Capitol Partners LLC, believes Howard County, particularly the Columbia submarket, is ripe for greater attention from Washington, D.C., metro investors. [read post]
5 Feb 2016, 3:13 pm
During the time of the scheme, Alleca was president and COO of Summit Wealth Management located in Atlanta, Georgia and Morrow worked with Detroit Memorial Partners. [read post]
5 Feb 2016, 6:15 am
., Arete Wealth Management, LLC, Newbridge Securities Corporation, Charter Pacific Securities, LLC, ePLANNING Securities, Inc., Sunset Financial Services, Inc., Jesup & Lamont Securities Corp., and Capital Guardian, LLC. [read post]
5 Feb 2016, 6:14 am
It is unclear from public disclosures the nature of the outside business but Talens public disclosures disclose that the broker has outside business activities including Ascension Wealth Management, a DBA for insurance and tax preparation, and AWM Consulting. [read post]
4 Feb 2016, 7:58 am
Graham, Managing Partner of Fenwick & West LLP’s Seattle office, and Sara Hanks, CEO of CrowdCheck in Alexandria, Virginia, will serve as co-chairs of the committee. [read post]
3 Feb 2016, 9:42 am
These MainStay Cushing funds were said to have been marketed to investors and sold by financial advisors at brokerages such as Cetera Advisors LLC, Mid Atlantic Capital Corp., JPMorgan, Ameriprise Brokerage, Raymond James, RBC Wealth Management, Morgan Stanley, and Securities America Inc. [read post]
2 Feb 2016, 9:54 am
He also failed to notify his broker-dealer, LPL Financial, of his position as managing partner of two LLCs and his opening an account with an outside broker-dealer.Ronald W. [read post]
20 Jan 2016, 5:21 am
Summit Asset Strategies Investment Management, LLC; Summit Asset Strategies Wealth Management, LLC; and Chris Yoo Case Number: 15-cv-01429 (United States District Court for the Western District of Washington) Date Filed: September 4, 2015 Date of Qualifying Judgment/Order: November 6, 2015 12/23/2015 3/22/2016 2015-144 SEC v. [read post]
11 Jan 2016, 11:12 am
Morgan wealth management subsidiaries who paid $267 million and admitted wrongdoing for failing to disclose conflicts of interest, including preference in discretionary wealth management accounts for proprietary mutual funds and hedge funds and for third-party-managed hedge funds that shared fees.Investment management firm F-Squared Investments, which paid $35 million and admitted wrongdoing, for defrauding customers through false performance… [read post]
10 Jan 2016, 5:07 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:On December 18th, the SEC announced the settlement of two JP Morgan Chase & Co. wealth management subsidiaries for failing to disclose multiple conflicts of interest to investors. [read post]
1 Jan 2016, 6:12 am
Copyright © 2015 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
16 Dec 2015, 2:43 pm
Rick Harkins is the founder and CEO of Harkins Wealth Management, LLC, and is a certified divorce financial advisor. [read post]
9 Dec 2015, 6:49 am
The legacy contact can manage your Facebook account once it has been memorialized following your death. [read post]
9 Dec 2015, 6:21 am
Arford was also permitted to resign from Comprehensive Wealth Management, LLC (Comprehensive Wealth Management) after allegations were made that Arford attempted to directly settle a customer complaint. [read post]
8 Dec 2015, 8:36 am
.; TriServe # 1, LLC; and Capital Concepts, Inc. [read post]
5 Dec 2015, 7:54 am
” It is unclear from the regulatory filings what companies were invested in but from publicly available information, Morgan’s brokercheck disclosures reveal several outside business activities including US College Planning, W&C Business Management, Strategis Wealth Consulting, and Strategis Wealth Advisory Group. [read post]
