Search for: "Security First Managers, LLC."
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7 May 2024, 7:35 am
Royal Alliance was the first of eight firms to rebrand to the Osaic Wealth(CRD #23131) name. [read post]
3 May 2024, 11:49 am
Morgan Securities LLC (CRD#:79) of Brewster, NY, and Wells Fargo Advisors, LLC (CRD#:19616) of Chappaqua, NY. [read post]
3 May 2024, 11:22 am
The post Buyer Beware: Insurance Agents May Have No Duty to Sell Construction Contractors an Insurance Policy Covering Likely Claims appeared first on Higgins, Hopkins, McLain & Roswell, LLC. [read post]
2 May 2024, 12:35 pm
Investor Disputes Filed against RBC September 2017 An all-public FINRA arbitration panel awarded $212,000 to the estate of a former RBC Wealth Management client, Hazel Kitzman, who alleged negligence and elder abuse by the firm. [read post]
2 May 2024, 5:59 am
Pets First Services: Pets First Services offers a holistic and comprehensive approach to pet healthcare, providing services such as acupuncture, dental cleanings, and emergency exams. [read post]
1 May 2024, 10:16 pm
Additionally, Kabir Sethi, LPL’s managing director and chief product officer, departed from the company on March 31, 2024. [read post]
1 May 2024, 3:01 pm
appeared first on Patrick, Harper & Dixon, LLP. [read post]
1 May 2024, 12:08 pm
LLC v. [read post]
28 Apr 2024, 8:35 am
Securities and Exchange Commission (SEC) stating that it had interests in Cumulus exceeding the 5% threshold. [read post]
25 Apr 2024, 12:48 pm
Monteleone, Esq, Principal Catamount Services, LLC; and S. [read post]
22 Apr 2024, 1:11 pm
Given the potential for the return of significant IPO activity, it is worth noting that IPO transactions entail certain risks, including in particular for the IPO companies’ private equity backers, as discussed in the following guest post written by Michelle Grimaldi, Assistant Vice President, Claims, Fair American Insurance and Reinsurance Company; Elan Kandel, Member, Bailey Cavalieri LLC; and James Talbert, Associate, Bailey Cavalieri LLC. [read post]
22 Apr 2024, 12:55 pm
Civil Cyber-Fraud Initiative Jelly Bean Communications Design LLC and its manager reached a settlement by paying $293,771 to address allegations related to the security of personal information on a federally funded Florida children’s health insurance website. [read post]
22 Apr 2024, 5:00 am
Knight First Amdt. [read post]
22 Apr 2024, 1:35 am
Management responsibilities: One of the LLP partners must be a “managing partner” with the ultimate responsibility and liability for the business. [read post]
19 Apr 2024, 1:43 pm
Worden Capital Management LLC Stalin Cruz SW Financial Windsor Street Capital, L.P. [read post]
19 Apr 2024, 1:23 pm
Riley Wealth Management Raymond James & Associates, Inc. [read post]
18 Apr 2024, 7:37 am
Collectively, the 5 investment advisers, GeaSphere LLC; Bradesco Global Advisors Inc.; Credicorp Capital Advisors LLC; InSight Securities Inc., and Monex Asset Management Inc., were censured, ordered to cease and desist from further violations of the Investment Advisers Act of 1940, and pay civil penalties ranging from $20,000 to $100,000. [read post]
16 Apr 2024, 1:47 pm
appeared first on Brown Rudnick. [read post]
12 Apr 2024, 11:27 am
Guggenheim Securities LLC (Guggenheim Securities) and Guggenheim Partners Investment Management LLC (GPIM) agreed to pay a $15 million penalty. [read post]
12 Apr 2024, 8:15 am
Credicorp Capital Advisors LLC InSight Securities Inc. [read post]
