Search for: "Wealth Management Inc."
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20 Oct 2014, 2:16 am
[Refusal to register THE ROCK CREEK GROUP for, inter alia, "individualized and personalized financial services provided to institutional investors, namely, sovereign wealth funds, state and local pension plans, multinational corporations, foundations and endowments," in view of the registered marks ROCK CREEK PROPERTY GROUP, LLC, in standard character and design form, for "real estate investment, management, and brokerage services" [PROPERTY GROUP, LLC… [read post]
17 Oct 2014, 10:12 am
The Commission of Financial Institutions for the Commonwealth of Puerto Rico (“OCFI”) ordered UBS Financial Services Inc. of Puerto Rico (“UBS”), a division of UBS Wealth Management Americas, to pay $5,200,000 in fines and restitution in an October 9, 2014 enforcement action. [read post]
1 Oct 2014, 3:07 am
Clyde Bergemann, Inc., Opposition No. [read post]
26 Sep 2014, 7:15 am
The SEC charged Barclays Capital Inc. with failing to maintain an adequate internal compliance system to ensure the firm did not run afoul of any federal securities laws after its wealth management business in the U.S. acquired the advisory business of Lehman Brothers in September 2008. [read post]
22 Sep 2014, 4:40 am
Yet copying is also one of the exclusive rights of a copyright owner; unchecked copying of copyrighted works can undermine the system of property rights that has resulted in the wealth of cultural prosperity we see today. [read post]
16 Sep 2014, 3:52 am
The Board has re-designated as precedential its ruling in In re McGowan Publishing Company, Inc., Serial No. 77582970 (June 27, 2013), wherein the Board reversed a refusal to register the mark CASHFLOW UNITS for "investment products, namely, wealth management and performance tracking, and providing financial advisory and financial portfolio management services. [read post]
2 Sep 2014, 9:13 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm Great American Advisors, Inc. [read post]
19 Aug 2014, 1:00 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: Donna Tucker, a former UBS Wealth Management Americas broker, was charged by the SEC with perpetrating a five-year Ponzi scheme. [read post]
9 Aug 2014, 8:16 am
International Financial Institutions (IFIs) and Sovereign Wealth Funds—SWFs as Instruments to Strengthen Governance and Enhance Fiscal Discipline in Developing States Larry Catá Backer[1]Abstract: Especially since the start of the second decade of the 21st century once more has seen more focused interest in the use of SWFs by home states—less as a means of projecting sovereign financial power outwards and more as a means of internal financial management, and… [read post]
8 Aug 2014, 4:00 am
His remaining wealth of roughly $10 billion is invested in other companies and is managed by a firm whose name, MSD Capital, incorporates Dell’s initials. [read post]
26 Jul 2014, 2:31 pm
Plaintiff provided this service to Better Power Equipment, Inc. [read post]
21 Jul 2014, 1:28 pm
Hernandez, The Wealth Management Partners, LLC, Wealth Financial, Limited Liability Company, DFHR Investments, Inc., and HD Mile High Marketing, Inc.Administrative Proceeding File No. [read post]
14 Jul 2014, 11:22 am
Rosenfield serves as a certified financial planner and adviser with Morgan Stanley Wealth Management in Waldorf, previously known as Legg Mason Wood Walker Inc. [read post]
9 Jul 2014, 6:41 am
Diehl was also registered with investment advisors and established an RIA firm, Diehl Wealth Management Group, LLC, in October 2010, and terminated registration in August 2011. [read post]
12 Jun 2014, 10:40 am
Registered Reps are now called Financial Advisors or Wealth Managers. [read post]
10 Jun 2014, 10:26 am
Introduction: Towards a Global CSR Project The last generation has seen the emergence of corporate social responsibility (CSR) as an approach to corporate governance within systems of law—domestic, international and transnational[1]—and as an important element in the structuring of non-state governance systems.[2] Its emergence has paralleled the rise of globalization as a mechanism for trade[3] and, more importantly, as a stress element in the prior system of governance grounded in the… [read post]
8 Jun 2014, 7:37 pm
,A FINRA arbitration panel ruled in favor of Corey Casilio and William Leitch, who claimed that John Valentine, their former boss, made defamatory accusations against them after they left Valentine Capital Asset Management Inc, in Danville, California, in 2011 to start their own advisory firm.The three arbitrators in the case, awarded Mr. [read post]
27 May 2014, 5:34 am
Schrader conducts securities transactions on through his own business, Schrader Wealth Management. [read post]
5 May 2014, 8:46 am
Nothing We're Tracking Today (click for the complete Energy & EPA announcements) (c)Waste Information & Management Services, Inc. [read post]
30 Apr 2014, 8:48 am
Nothing We're Tracking Today (click for the complete Energy & EPA announcements) (c)Waste Information & Management Services, Inc. [read post]
