Search for: "Associated Asset Management LLC"
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16 Nov 2021, 6:08 am
Madsen.Despite these actions, there are still significant risks associated with reverse mergers, said the SEC. [read post]
24 Sep 2018, 6:24 am
Zito has outside business disclosures including timber purchasing from timber management firm. [read post]
1 May 2013, 1:02 am
How are non-cash assets disposed of? [read post]
28 Dec 2009, 3:00 am
Rochester Oral & Maxillofacial Surgery Associates, LLC, 63 AD3d 1683 (4th Dept 2009), in which the court held that a 50% LLC member lacked authority to hire company counsel to accept the other member's resignation. [read post]
29 Jun 2020, 3:26 am
Picard also disallowed any credit for the $3.15 million that in 2002 was “rolled over” into FGLS from a predecessor feeder fund called C&P Associates. [read post]
30 Jul 2020, 11:00 am
The Company expects a decrease in general and administrative expenses (approximately $18 million on an annualized basis starting in 2021) since it will no longer pay any acquisition, asset management, construction management, property management or disposition fees to affiliates of the sponsor, Carter Validus REIT Management Company II LLC. [read post]
23 Apr 2010, 11:19 am
The return of the note is linked to the return of an underlying asset such as the S&P 500 Stock Index. [read post]
8 Sep 2023, 12:51 pm
The firm reportedly manages $458 billion in assets. [read post]
29 Sep 2012, 11:27 am
Let’s assume that the client will have no employees and will manage the property himself. [read post]
18 Jul 2011, 2:00 am
advisers are required to include worldwide assets under management for purposes of calculating the $150 million threshold. [read post]
15 Aug 2024, 9:01 pm
Jones & Co., L.P. agreed to pay a $50 million penalty LPL Financial LLC agreed to pay a $50 million penalty Raymond James & Associates, Inc. agreed to pay a $50 million penalty RBC Capital Markets, LLC agreed to pay a $45 million penalty BNY Mellon Securities Corporation, together with Pershing LLC, agreed to pay a $40 million penalty TD Securities (USA) LLC, together with TD Private Client Wealth LLC and Epoch Investment Partners, Inc.,… [read post]
8 Apr 2022, 2:05 am
Regulatory Affairs, Managed Funds Association (Washington, DC) Corporate Counsel, LS Power (Saint Louis, MO) Sr. [read post]
2 Jun 2022, 7:30 pm
According to the news release, GWG and its subsidiaries, GWG Life, LLC and GWG Life USA, LLC, have filed voluntary Chapter 11 petitions in the U.S. [read post]
16 Oct 2009, 5:24 pm
Photos: Associated Press [read post]
15 Jul 2022, 6:29 am
Investment Advisers Act Posted by Whitney Chatterjee, Don Crawshaw, and Eric Diamond, Sullivan & Cromwell LLP, on Wednesday, July 13, 2022 Tags: Asset management, Index funds, Institutional Investors, Investment Advisers Act, SEC, Securities regulation Board Diversity Action Expands to Courtrooms, Regulators, and Investors Posted by Matthew Fust, on Wednesday, July 13, 2022 Tags: Board composition, Boards of… [read post]
15 Jul 2022, 6:29 am
Investment Advisers Act Posted by Whitney Chatterjee, Don Crawshaw, and Eric Diamond, Sullivan & Cromwell LLP, on Wednesday, July 13, 2022 Tags: Asset management, Index funds, Institutional Investors, Investment Advisers Act, SEC, Securities regulation Board Diversity Action Expands to Courtrooms, Regulators, and Investors Posted by Matthew Fust, on Wednesday, July 13, 2022 Tags: Board composition, Boards of… [read post]
5 Sep 2024, 9:00 am
The order found that Nationwide Planning Associates, Inc. and investment adviser NPA Asset Management, LLC, and state-registered investment adviser Blue Point Strategic Wealth Management, LLC, impeded brokerage customers and advisory clients from reporting securities law violations to the SEC. [read post]
28 Jun 2012, 9:42 am
The financial advisor generally charges the client based on the amount of assets under management with the advisor. [read post]
13 Aug 2018, 5:00 am
Alexandra Prodromos, a business development manager at Bloq, pointed to the explosion in ICO activity at the end of 2017 and its carry through the first half of 2018. [read post]
