Search for: "Investment Management Advisory Group"
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12 Nov 2020, 10:40 am
Hyperion’s founder and CEO, Eyal Iffergan, will join Epiq as Managing Director of its new legal operations advisory business. [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]
27 Mar 2014, 10:48 am
Judge Dolder was a strong proponent of legal education, serving for seventeen years on the Advisory Board of Loyola Law School’s Annual Longshore Conference. [read post]
16 Mar 2019, 6:04 pm
A recent study prepared by the ICO advisory firm Statis Group revealed that nearly 80% of ICO’s are scams, and only 8% managed to reach the trading stage on the various cryptocurrency exchanges (Shobhit Seth, Investopedia). [read post]
11 May 2022, 9:01 pm
The fact is, most crypto tokens involve a group of entrepreneurs raising money from the public in anticipation of profits — the hallmark of an investment contract or a security under our jurisdiction. [read post]
27 Dec 2021, 7:12 am
William Friedman Pinnacle Investments, LLC Woodstock Financial Group, Inc. [read post]
16 Jun 2022, 9:05 pm
The Working Group on Securities Disclosure Authority respectfully submits these comments on the Commission’s recent proposal related to mandated, standardized climate-related disclosures for investors. [read post]
22 Apr 2019, 7:38 am
However, as the SEC points out in the Orders, Talimco and Rogers owed the CDO client a fiduciary duty, as its investment adviser and collateral manager, to maximize the price obtained for the participation by identifying willing and able buyers. [read post]
14 Sep 2018, 3:00 am
Historically, investment advisers have frequently looked to proxy advisory firms to fill this role. [read post]
19 Oct 2023, 7:42 am
Consello Capital was recently formed as the private equity investment division of advisory firm The Consello Group. [read post]
29 Jun 2010, 1:47 pm
Broker-dealers that sold Provident Royalties private placements Firm name Total sales Total commission paid to BD Advisory Group Equity Services Ltd. $110,000 $70,650 AFA Financial Group LLC $2,455,000 $456,150 American Portfolios Financial Services Inc. $585,000 $66,650 Asset Management Strategies LLC $220,000 $2,250 Ausdal Financial Partners Inc. $100,000 $2,250 Barron Moore Inc. $250,000 $96,750 Boogie Investment Group Inc.… [read post]
6 Apr 2011, 11:51 am
Moreover, in conjunction with the IASB, FASB convened a special advisory group to react to the financial crisis. [read post]
8 Dec 2021, 7:27 am
California-registered investment advisers (“CA RIAs”) that manage pooled investment vehicles and are deemed to have custody of client assets are also subject to independent party surprise examinations. [read post]
8 Dec 2021, 11:27 am
California-registered investment advisers (“CA RIAs”) that manage pooled investment vehicles and are deemed to have custody of client assets are also subject to independent party surprise examinations. [read post]
6 May 2022, 5:01 am
These include the National Academies Climate Security Roundtable, the Climate Security Advisory Council and the reinstated Climate Change and National Security Working Group. [read post]
13 Jan 2015, 8:25 am
Huizenga noted that an SEC working group studied this issue, but the SEC has not moved with recommendations. [read post]
15 Jul 2014, 6:27 am
Mustaphalli sold the investment through his registered investment advisory firm, Mustaphalli Advisory Group. [read post]
9 Jul 2010, 9:19 am
A perspective from Daniel Lisser, Managing Director of Johnson Capital(re-printed with permission from Mr. [read post]
18 Dec 2023, 2:48 pm
His experience and expertise in the field will greatly contribute to the success and growth of our Funds practice group. [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]
