Search for: "Investment Management Advisory Group, Inc."
Results 41 - 60
of 521
Sort by Relevance
|
Sort by Date
12 Jun 2023, 2:08 pm
Cetera Advisors LLC allegedly unsuitably invested its clients in Hospitality Investors Trust Inc. and other alternative investments. [read post]
6 Jun 2023, 8:38 am
Grace & Company, Inc.,; Suzanne Gilbert is a veteran corporate executive with over 30 years of experience with the Interpublic Group of Companies (IPG); Larry Prendergast is Chairman of the Turrell Fund and serves on the advisory boards of several investment funds, including JPMorgan; and Joe Monteleone is a Partner at the Weber Gallagher Simpson Stapleton Fires & Newby LLP law firm. [read post]
17 May 2023, 12:30 pm
Meredith’s firm, KM Advisory Services, allegedly breached its fiduciary duty in connection with its receipt of mutual fund fees and commissions in the form of sales “loads” from advisory client investments without fully and fairly disclosing the conflicts of interest arising from its receipt of that compensation. [read post]
17 May 2023, 11:30 am
The Mass. broker was also registered as an investment advisor with Capital Planning Group of Massachusetts, Inc. [read post]
16 May 2023, 8:21 am
On April 6, 2023, BlackRock filed schedules for MetLife, Inc., Apollo Global Management, Inc., Packaging Corporation of America, POSCO Holdings Inc., Via Renewables, Inc. and WestRock Company. [read post]
6 May 2023, 2:49 pm
Additionally, hedge funds, which are investments that many wealthy people invest in, shorted AMC stock. [read post]
20 Apr 2023, 1:20 pm
The SEC’s New Proposed Rule Regarding Safeguarding Advisory Client Assets. [read post]
14 Apr 2023, 11:27 am
Prospera Financial Services has 10 regulatory actions on its broker report, such as the following: The SEC reportedly filed charges against Prospera Financial Services in 2016 for allegedly making misstatements to certain of its advisory clients, including clients with separately managed accounts invested in F-Squared Investments, Inc. [read post]
11 Apr 2023, 9:00 pm
He serves on the Board of Managers for OSI Group and many of its companies. [read post]
10 Apr 2023, 11:49 am
The firm is dual registered as a brokerage firm and an investment advisory firm, CRD#: 44856/SEC#: 8-50854. [read post]
6 Apr 2023, 7:23 am
The White Law Group is investigating potential securities claims involving CFD Investments Inc. [read post]
5 Apr 2023, 2:05 pm
SEC Sanctions Packerland Brokerage Services In 2017, the SEC reportedly settled charges against Packerland Brokerage Services, Inc. and Atlas Capital Management Corp. [read post]
2 Apr 2023, 6:00 am
Andrew Langroudi, and Gregory Mazares (Investors)Seed Round funding of more than $1M. (+) 7-March-22L2 ServicesEmpire Technologies Risk Management Group 3-March-22ThoughtTraceThomson ReutersDefinitive Agreement to Acquire 24-February-22Hold360 and Request360 from Congruity 360DISCO 24-February-22Cybersecurity and Data Protection Practice of Palmeiro & PlattEmpire Technologies Risk Management Group 26-January-22U.S. eDiscovery Retreat Programs (From Sub-Four… [read post]
30 Mar 2023, 10:04 am
Many broker-dealers and financial management firms recommended Northstar to investors, including: Bankoh Investment Services, Inc., Cetera Financial CommunityAmerica Financial Solutions East West Bank Hancock Whitney Investment Services P. [read post]
30 Mar 2023, 6:52 am
SEC Rule 206(4)-1 (Advisory Contracts) requires investment advisers to disclose any conflicts of interest and obtain written consent from clients before engaging in certain transactions. [read post]
3 Mar 2023, 10:24 am
The Court found that the EIR’s alternatives were tailored to the LRDP’s limited purpose, and while they did not include reducing total campus population, they did include managing it in various ways that could lessen or avoid its environmental impacts, e.g., reducing car travel, increasing on-campus housing, increasing remote working and instruction. [read post]
28 Feb 2023, 7:11 am
Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
23 Feb 2023, 9:01 pm
Before entering some of these resolutions, we saw only lip service paid to compliance, and in one case, managers who had substantial information about unlawful trading allowed it to continue. [read post]
22 Feb 2023, 1:07 pm
Patent TPLF funds generally promise roughly 20% internal rates of return to funders (IRR) year-over-year, or about a 2x to 2.5x return on investment over generally four- or five-year investment cycles, suggesting, at least at the pitch level, that these investments are lucrative for the funders.[15] The biggest (or at least most well-known) players—Magnetar Capital, Burford Capital, Fortress Investment Group, Omni Bridgeway, and Curiam… [read post]
17 Feb 2023, 6:11 am
Google and the related case, Twitter, Inc. v. [read post]
