Search for: "Registered Investment Advisers LLC"
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28 Sep 2023, 1:37 pm
Timothy Tremblay Has Been a Registered Broker Since 1983 According to his Brokercheck, Timothy Tremblay has been registered as a broker and investment adviser with Centaurus Financial Inc. in California since 2003. [read post]
21 Mar 2019, 6:56 am
The US Securities and Exchange Commission (SEC) has filed civil charges against Talimco LLC, a registered investment adviser (RIA), and its former COO Grant Gardner Rogers. [read post]
30 Jun 2016, 11:35 am
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
28 May 2019, 10:34 am
The Securities and Exchange Commission today charged investment adviser Stephen Brandon Anderson with defrauding clients by overcharging advisory fees of at least $367,000.According to the SEC’s order, Anderson owned and operated River Source Wealth Management, LLC, a now-defunct registered investment adviser in North Carolina. [read post]
29 Oct 2007, 11:15 am
Ed May and his firm E-M Management Investments LLC are accused of losing millions of dollars for over 1,500 investors in investments that are very questionable. [read post]
19 May 2017, 7:25 am
Meadlin (“Meadlin”), an investment adviser, and Hyaline Capital Management, LLC (“Hyaline”), his advisory firm. [read post]
27 Jul 2021, 6:17 am
TIAA’s policies and procedures required their investment adviser representatives, who were also dually registered as registered representatives, to present clients with four options regarding rollover recommendations when providing financial planning services. [read post]
26 May 2016, 7:10 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]
25 Aug 2021, 8:13 am
Many of the victims are elderly retirees preyed upon by investment advisers at Southport Capital (“Southport”), a registered investment advisory firm owned and controlled by Woods. [read post]
20 Apr 2021, 3:46 pm
The firm is under common control with HighTower Advisors, LLC, a registered investment advisor (RIA). [read post]
19 Feb 2021, 2:02 pm
Silver Law Group represents investors for losses in funds offered by SEC-registered investment advisor Indie Asset Partners, LLC (“Indie Asset”). [read post]
29 Oct 2007, 11:15 am
Ed May and his firm E-M Management Investments LLC are accused of losing millions of dollars for over 1,500 investors in investments that are very questionable. [read post]
19 Feb 2021, 1:56 pm
First Landing is an investment fund formed in 2015 and is managed by Vantage Consulting Group, Inc., a Virginia-based SEC-registered investment adviser firm. [read post]
8 May 2023, 11:36 am
Classic Asset Management, LLC is a North Dakota-based registered investment adviser. [read post]
22 Apr 2019, 7:38 am
A recent pair of SEC enforcement Orders against registered investment adviser Talimco, LLC and its Chief Operating Officer Grant Rogers highlight the need for advisers to be ever-mindful of their fiduciary duties to both clients when effecting cross trades between such clients. [read post]
10 Feb 2017, 9:51 am
Rafal agreed to pay the attorney $50,000 annually as a referral fee from the advisory fees paid by the client, provided that he register as an investment adviser. [read post]
17 Feb 2021, 12:58 pm
Tavel was also providing investment advice through Charter Advisory Corporation, an SEC-registered Investment Adviser, as well as providing tax services and insurance products through Tavel Insurance & Financial Services, LLC. [read post]
28 Jul 2016, 7:00 am
Last month the Securities and Exchange Commission (“SEC”) sanctioned a registered investment adviser and its managing member for violating the Investment Adviser’s Act of 1940 (“Adviser’s Act”) and for acting as an unregistered broker-dealer in connection with the services the adviser provided to a private fund that it managed and the fees charged for those services. [read post]
28 Jul 2016, 7:00 am
Last month the Securities and Exchange Commission (“SEC”) sanctioned a registered investment adviser and its managing member for violating the Investment Adviser’s Act of 1940 (“Adviser’s Act”) and for acting as an unregistered broker-dealer in connection with the services the adviser provided to a private fund that it managed and the fees charged for those services. [read post]
22 Sep 2023, 11:18 am
Contact us Noard Has Been a Registered Broker Since 1989 According to his Brokercheck, Jeffrey Noard has been registered as a broker and investment adviser with Emerson Equity LLC, located in Menomonee Falls, Wisconsin, since 2020. [read post]
