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28 Apr 2017, 8:35 am
The company also offers strategic advisory, asset management, tax-deferred exchange and capital markets solutions. [read post]
17 Apr 2017, 3:46 am
Morizio I In the first Morizio decision in 2014 (“Morizio I”), a minority shareholder and former employee of Adirondack Research & Management Inc., a financial investment advisory firm, sued the majority shareholders for a battery of common-law claims, including breach of contract, fraud, tortious interference with contract, breach of fiduciary duty and unjust enrichment. [read post]
4 Apr 2017, 2:37 pm
According to research conducted by consulting groups, the registered investment adviser model is more successful as it is a smaller and more tightly integrated groups. [read post]
31 Mar 2017, 8:11 am
At the SEC, we started a FinTech working group. [read post]
30 Mar 2017, 9:44 am
--Bilateral Investment Treaties typically deal with investment and investment protection --Cuban Bits tend to focus on state prerogatives --Most others -internationalize national law -might discriminate in favor of foreign investors over domestic -stabilization provisions protect investment against domestic law -focus on expropriation; --Possibilities -Incorporate HR norms in BIT subject to stabilization protection -produce strong enforcement mechanism through… [read post]
29 Mar 2017, 6:59 am
The SEC alleges that Glick and his unregistered investment advisory firm Financial Management Strategies (FMS) provided clients with false account statements to hide Glick’s use of client funds to pay personal and business expenses, including purchasing a Mercedes-Benz, and paying off loans and debts. [read post]
22 Mar 2017, 6:47 am
The complaint alleges that from about December 2015 to November 2016, Varacchi and Sentinel stole $3.95 million or more from investment advisory clients. [read post]
20 Mar 2017, 11:48 am
” In addition to working for the advisory firm ClearPath Wealth Management, Churchville was also a registered broker. [read post]
7 Mar 2017, 10:01 am
Because of the industry focus, we’ve seen some groups form advisory boards. [read post]
21 Feb 2017, 11:29 am
She also is a member of the Sustainability Accounting Standards Board’s (SASB) Investment Advisory Group and serves on various index advisory boards. [read post]
16 Feb 2017, 6:58 am
Financial Adviser Charged With Stealing From Client AccountsAn investment adviser representative has been charged with stealing approximately $5 million from client accounts by initiating unauthorized wire transfers and issuing checks to third parties to cover personal expenses.Investment Adviser Charged With Stealing Investor FundsA Connecticut-based investment advisory business and its owner have been charged with stealing money from investors to settle a private lawsuit… [read post]
1 Feb 2017, 6:54 am
Asset Managers (BlackRock; MFS; State Street Global Advisors; TIAA Investments; T. [read post]
19 Jan 2017, 10:00 pm
From working to implement a viable risk management framework to helping expand our markets overseas, to investing in agricultural research here at home, these are critical elements of the farm economy, and we look forward to working alongside USDA under Secretary Perdue to ensure that the department continues to serve American soybean farmers in the most effective manner possible. [read post]
16 Jan 2017, 8:24 am
American Realty Capital Hospitality also announced that it will terminate its existing advisory agreement with American Realty Capital Hospitality Advisors, LLC and become a self-managed entity. [read post]
31 Dec 2016, 12:36 pm
, Tax Manager @KPMG_US // Views expressed are mine; tweets ≠ tax advice. (35) @rileytaxtweets – Peter J. [read post]
13 Dec 2016, 7:55 am
Together, these two groups will guide the incorporation of valuable traditional knowledge and science into Federal resource management in the northern Bering Sea region, thus preserving this unique ecosystem and the indigenous peoples who rely upon it. [read post]
6 Dec 2016, 7:00 am
Peter Fuhrman, the chairman and CEO of China First Capital, a Shenzhen-based investment banking and advisory firm, said: “It’s about buying companies that, once they have Chinese owners, can start making really big money selling products in China”. [read post]
16 Nov 2016, 8:09 am
The 13 firms that relied on F-Squared Investments’ representations without verification were: AssetMark BB&T Securities Banyan Partners Congress Wealth Management Constellation Wealth Advisors Executive Monetary Management HT Partners Hilliard Lyons Ladenburg Thalmann Asset Management Prospera Financial Services Risk Paradigm Group Schneider Downs Wealth Management Advisors Shamrock Asset Management The above list may grow to… [read post]
16 Nov 2016, 8:09 am
The 13 firms that relied on F-Squared Investments’ representations without verification were: AssetMark BB&T Securities Banyan Partners Congress Wealth Management Constellation Wealth Advisors Executive Monetary Management HT Partners Hilliard Lyons Ladenburg Thalmann Asset Management Prospera Financial Services Risk Paradigm Group Schneider Downs Wealth Management Advisors Shamrock Asset Management The above list may grow to… [read post]
16 Nov 2016, 8:09 am
The 13 firms that relied on F-Squared Investments’ representations without verification were: AssetMark BB&T Securities Banyan Partners Congress Wealth Management Constellation Wealth Advisors Executive Monetary Management HT Partners Hilliard Lyons Ladenburg Thalmann Asset Management Prospera Financial Services Risk Paradigm Group Schneider Downs Wealth Management Advisors Shamrock Asset Management The above list may grow to… [read post]
