Search for: "Security First Managers, LLC."
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3 Apr 2016, 11:01 am
The LLC would be managed by a board of managers. [read post]
16 Nov 2010, 5:25 am
LLC v. [read post]
2 Sep 2022, 6:54 am
Also in September 2020, a customer complained that Melilli violated the securities laws by alleging that Melilli made risky investments that were not fully understood and that management fees may not have been assessed correctly. [read post]
29 Oct 2018, 10:00 am
She managed, as reported in Investment News’ article “Inaccurate info from Social Security Administration a challenge for widows,” in part thanks to Social Security. [read post]
15 May 2024, 12:32 pm
A Certificate of Incumbency for an LLC confirms who is involved in managing and controlling the LLC. [read post]
3 Jan 2019, 5:54 am
The post Registered Individuals Barred by FINRA in December 2018 for Violations of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
5 Jun 2024, 1:45 pm
On May 8, 2024, LPL Financial LLC announced it has closed its acquisition of the wealth management business of? [read post]
13 Dec 2009, 7:22 am
The SEC alleges that Bluestein acted as the single largest salesperson in the Ponzi scheme operated by Edward May and his company, E-M Management Company LLC (E-M). [read post]
12 Jun 2023, 2:08 pm
Cetera Advisors LLC (CRD #10299), in Greenwood Village Colorado, employs 1,019 advisors and manages $21.2 billion. [read post]
21 May 2019, 7:30 am
Castleberry Financial Services Group LLC, managed by T. [read post]
13 Jun 2024, 7:17 am
The Securities and Exchange Commission today charged Joshua Goltry and his investment management firm, JAG Capital Advisors LLC (JAG Advisors), in connection with a three-year scheme to defraud investors of at least $3 million. [read post]
4 Dec 2020, 1:23 pm
Joseph Stone Capital, LLC Riza Hernandez Lincoln Financial Securities Corporation Wells Fargo Advisors, LLC Donald Padilla National Securities Corporation National Asset Management Jon Sanchez Independent Financial Group LLC Morgan Stanley Joseph Shimko, Jr. [read post]
10 Apr 2023, 3:01 pm
(California Court of Appeal, Feb. 15, 2023, G Companies Management, LLC v. [read post]
18 Jul 2011, 2:12 pm
The question in this case was "whether Janus Capital Management LLC (JCM), a mutual fund investment adviser, can be held liable in a private action under Securities and Exchange Commission (SEC) Rule 10b-5 for false statements included in its client mutual funds' prospectuses. [read post]
5 Dec 2022, 8:26 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
10 Jan 2022, 2:15 pm
This narrow reading disregards the reality that many LLCs, [read post]
3 Jul 2023, 8:45 am
The Department of Justice (DOJ) recently announced a civil cyber-fraud settlement by Jelly Bean Communications Design LLC (Jelly Bean) and its manager, Jeremy Spinks. [read post]
2 Mar 2021, 1:41 pm
Investment firm Infinity Q Capital Management LLC has halted investor redemptions following the discovery of potentially serious valuation issues. [read post]
4 Apr 2013, 6:48 pm
All registered investment advisers or managers filing as exempt reporting advisers with the SEC or a state securities authority must file an annual amendment to Form ADV within 90 days of the end of their fiscal year. [read post]
1 Dec 2022, 7:23 am
Donald Heitz LPL Financial LLC First Command Fianncial Planning, Inc. [read post]
