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30 Apr 2012, 1:37 pm
The SEC also barred Montford from associating with any investment adviser. [read post]
20 Feb 2013, 3:16 pm
Post Capital Partners LLC has announced it has recapitalized Invo HealthCare Associates, Inc. [read post]
22 Mar 2021, 8:20 am
Lyons made unsuitable investments and overconcentration of investment. [read post]
22 Mar 2021, 8:20 am
Lyons made unsuitable investments and overconcentration of investment. [read post]
1 Jul 2019, 5:38 am
Rosenberg is an associate at Fried, Frank, Harris, Shriver & Jacobson LLP. [read post]
16 Jan 2018, 4:50 pm
Title: Foreign Investment in Cuba: Law, Policy, and PracticalitiesAbstract: Cuba’s 2014 foreign investment law and its annual portfolio of opportunities for foreign investment signal Cuba’s openness to foreign direct investment. [read post]
13 Mar 2009, 6:43 am
SEC Will Confirm Assets of Investors in Hedge Funds Managed by Registered Investment Advisers as Part of Adviser Examinations Senior SEC officials announced at a recent Managed Funds Association seminar that as part of the routine examinations of registered investment advisers the SEC staff will seek confirmations from investors in hedge funds managed by the advisers of cash and securities held by advised clients. [read post]
16 Sep 2019, 6:18 am
The law offices of Gana Weinstein LLP are investigating broker Douglas Hyer (Hyer), currently associated with First Allied Securities, Inc. [read post]
9 Mar 2009, 3:22 am
Harris Associates [docket; cert. petition, PDF], in which the Court will consider whether a shareholder must show that the fund's investment adviser misled the fund's directors in order to have a cognizable claim of an excessive fee under section 36(b) of the Investment [read post]
3 Aug 2007, 9:06 am
The head of the state securities regulators' association, Patty Struck, recently testified before the United States Senate. [read post]
13 Sep 2017, 4:11 pm
The Centre for International Law at the National University of Singapore is inviting applications for the position of Research Associate/Research Assistant in the Investment Law and Policy Programme. [read post]
20 Aug 2020, 6:18 am
Traditionally, they would be guided by their broker, but increasingly they are investing in mutual funds through online investment platforms, or ‘fund supermarkets’. [read post]
1 Jun 2011, 1:31 pm
If you have invested in any of the Apple REITs upon the recommendation of David Lerner Associates, please contact one of our attorneys at 312-332-0000. [read post]
9 Oct 2008, 2:48 pm
(Running Time: 10:19) MP3 File Sean Delaney Associate Michelle Skjoldal Associate [read post]
12 May 2018, 8:02 am
It is perhaps for this reason that legislators have been laissez faire in creation of new regulatory rules associated with robo-adviser practice. [read post]
15 Jan 2009, 5:35 pm
To present the best possible investment and living environment to foreign citizens in TEDA, the TEDA Administrative Commission has made improving expat-related service one of the twelve deeds for the region's investment environment promotion efforts in 2008. [read post]
11 Mar 2022, 1:54 am
Investors may have claims If your financial advisor unsuitably recommended an investment in Corporate Property Associates 18 – Global Inc., you may be able to recover your losses by filing a FINRA arbitration claim against the brokerage firm that recommended the investment. [read post]
11 Mar 2019, 5:58 am
Bartholomew are associates at Pepper Hamilton LLP. [read post]
4 Jun 2019, 11:41 am
The Securities and Exchange Commission today announced that Marshall Gandy has been named Co-National Associate Director of the Investment Adviser/Investment Company examination program in the Office of Compliance Inspections and Examinations (OCIE). [read post]
11 May 2018, 9:07 am
The North American Securities Administrators Association (“NASAA”) has also observed in recent years that if an investment adviser logs into a client’s account using the client’s personal information, “the investment adviser is in effect impersonating this client and has the same access to the account as the client. [read post]
