Search for: "Mutual Management Services LLC"
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24 Oct 2013, 6:51 am
District Court in Boston, Massachusetts, on behalf of 401(k) plans that use Fidelity mutual funds and plan administration services. [read post]
9 Jul 2015, 11:27 am
The mutual fund distributor Virtus Investment Partners Inc. also cut F-Squared as a manager on five of its products with some $5.7 billion in assets, including Virtus Premium Alpha Sector.F-Squared, its mutual-fund distribution partner and financial advisors who recommended the investment are under the microscope. [read post]
12 Jan 2011, 5:00 am
One of those wholly-owned subsidiaries, Janus Capital Management, LLC (“JCM”) was the “investment adviser” to the assorted Janus mutual funds. [read post]
16 Feb 2016, 4:50 pm
Carlyle Investment Management LLC (CIM) served as CCC’s investment manager pursuant to an investment Management Agreement (IMA). [read post]
4 Sep 2019, 6:35 am
Grange Mutual Ins. [read post]
19 May 2014, 10:29 pm
Carlyle Investment Management LLC (CIM) served as CCC’s investment manager pursuant to an investment Management Agreement (IMA). [read post]
17 May 2022, 12:30 pm
LLC (AGI US) and three former senior portfolio managers with a major fraudulent scheme that hid the immense downside risks of a complex options trading strategy they called “Structured Alpha. [read post]
6 Mar 2014, 8:22 am
As background, plaintiffs Lawson and Zang separately initiated lawsuits against their former employer, a privately held company that provided advisory management services to the Fidelity family of mutual funds. [read post]
18 Oct 2016, 7:36 am
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
12 Jul 2016, 2:02 pm
Transamerica joins a growing list of retirement plan service providers that have been the subject of similar excessive-fee lawsuits brought by their plan participants.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
7 Apr 2016, 11:14 am
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
3 Jan 2019, 5:54 am
Inc Flores, Daniel Woodbury Financial Services, Inc Princor Financial Services Corp Giraldo, Jose Merrill Lynch, Pierce, Fenner & Smith Inc David Lerner Assoc, Inc Heitz, Donald LPL Financial LLC First Command Financial Planning, Inc Jenkins, Elisabeth LPL Financial LLC ESL Investment Services, LLC Krize, Joshua Wells Fargo Clearing… [read post]
28 Apr 2009, 9:18 am
Some of the proprietary products the brokers were allegedly pushed to sell included Fidelity's own life insurance products, particularly annuities, and Portfolio Advisory Services, a program managed by a Fidelity-run registered investment adviser that invests in Fidelity mutual funds or a mix of proprietary and external mutual funds. [read post]
21 May 2020, 6:40 am
According to FINRA Disciplinary actions for February 2020, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Belesis, George Portfolio Advisors Alliance, LLC John Thomas Financial Berghausen, Joseph ADP Broker-Dealer, Inc Cetera Advisor Networks… [read post]
5 Jun 2012, 5:42 pm
The creditor cannot force the LLC to actually distribute any money, nor participate in any way in management of the LLC, nor even usually get information on the LLC's activities. [read post]
7 Oct 2009, 6:27 am
., Case No. 139631 on stipulation; dismissed a prisoner’s lawsuit for failure to support a request for a waiver of fees as MCL § 600.2963(1) requires; granted leave to the Building Officers Managers Association of Metropolitan Detroit to file an amicus curiae brief in Briggs Tax Service LLC v. [read post]
21 Jul 2022, 6:00 am
According to the Complaint, in or around March 2022, Thrivent requested the Defendant, PFJ Ventures LLC a/k/a Thrivant Consulting LLC, “PFJ Ventures” to cease and desist the use of the Mark THRIVANT mark in connection with financial services. [read post]
26 Aug 2016, 1:43 pm
Facts: Plaintiffs were investors in mutual funds and brought suit on behalf of those funds against Defendant, the investment advisor to the funds. [read post]
15 Jan 2011, 5:00 am
In other words, Frederick insisted that: “this case is not about service providers, but it is about Janus Capital Management being the primary violator. [read post]
24 Mar 2016, 2:01 pm
The firm reaped profits through fees generated by placing customers’ money into mutual funds and hedge funds.From 2008 to 2013, JP Morgan admitted that two of its units that manage money – its securities subsidiary and its nationally chartered bank – failed to disclose those benefits that resulted in a conflict of interest. [read post]
