Search for: "Adviser Dealer Services, Inc."
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17 Jan 2017, 7:48 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
17 Jan 2017, 7:48 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
16 May 2007, 12:30 pm
" "Essentially, LPL played its cards, and NPC folded," said an adviser affiliated with Mutual Service Corp. [read post]
3 Jun 2015, 7:55 am
With the recent focus by the SEC and FINRA on cybersecurity for broker-dealers and investment advisers as a backdrop, FINRA recently brought and settled an enforcement action under SEC Regulation S-P against broker-dealer Sterne, Agee & Leach, Inc. [read post]
9 Jan 2019, 11:31 am
Next Financial Group Inc. will be purchased by Atria Solutions. [read post]
21 Aug 2017, 12:39 pm
” The program allowed clients to pay “a single fee for investment advisory services, trade execution services, custody and other standard brokerage services. [read post]
20 Oct 2017, 7:07 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
8 Aug 2023, 9:31 am
Wedbush Securities Inc., a dually registered broker-dealer and investment adviser, was additionally charged with violating certain recordkeeping provisions of the Investment Advisers Act of 1940 and with failing to reasonably supervise with a view to preventing and detecting those violations. [read post]
13 Nov 2009, 4:19 pm
Stifel has been working to turn its business into a full-service investment bank and its subsidiary, Stifel, Nicolaus, & Co., recently completed its buy of 56 UBS Financial Services Inc. branches, which it purchased for at least $46 million. [read post]
6 Nov 2015, 11:35 am
Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. [read post]
8 Sep 2015, 9:43 am
Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. [read post]
3 Jan 2017, 3:13 am
Cast of Characters Essex Financial Services, Inc., (“Essex”) a registered investment adviser (“RIA”) and broker-dealer founded in 2003. [read post]
24 Feb 2015, 12:01 pm
Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. [read post]
8 Apr 2013, 12:32 pm
FundersClub and its subsidiary are venture capital fund advisers under Rule 203(l)-(1) of the Investment Advisers Act of 1940. [read post]
28 Jul 2010, 6:49 pm
A Financial Industry Regulatory Authority arbitration panel is ordering Raymond James & Associates Inc. and Raymond James Financial Services Inc. to buy back $2.5M in auction-rate securities from an investor. [read post]
26 Jun 2015, 12:52 pm
Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. [read post]
9 Jan 2011, 1:15 pm
The plaintiff filed a complaint against the manufacturer, Sunseeker International Limited, the authorized distributor, Sunseeker USA, Inc., and Jefferson Beach Yacht Sales, Inc., a Michigan broker/dealer. [read post]
22 Oct 2015, 12:20 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has imposed fines of Voya Financial Advisors Inc., Transamerica Financial Advisors Inc. and four other independent broker-dealers. [read post]
25 Jan 2018, 11:33 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
22 Aug 2016, 5:00 am
According to FINRA, capital acquisition brokers are firms that are solely corporate financing firms that advise companies on mergers and acquisitions, advise issuers on raising debt and equity capital in private placements with institutional investors, or provide advisory services on a consulting basis to companies that need assistance analyzing their strategic and financial alternatives. [read post]
