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3 Nov 2016, 11:20 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]
27 Oct 2016, 7:00 am
The Act is applicable when a plaintiff claims (1) compensation for damages directly resulting from false, misleading, or omitted public capital markets information, (2) compensation for damages for the use of false or misleading public capital markets information or for failure to offer clarification about the false or misleading nature of public capital markets information (e.g., resulting from investment advisory contracts), or (3) fulfillment of a contract based on an offer… [read post]
19 Oct 2016, 1:04 pm
Stamer helps management manage. [read post]
18 Oct 2016, 4:54 am
Any true investment banker will know that financial planners and wealth management professionals in the area in which they work. [read post]
7 Oct 2016, 8:35 am
The SEC Enforcement Division further alleges that Balter falsely told clients invested in his affiliated mutual fund they would not pay both advisory fees and fund management fees, yet he charged both fees anyway. [read post]
3 Oct 2016, 7:26 am
That value might be in prestige markets among its peer groups. [read post]
3 Oct 2016, 6:30 am
These six requirements are as follows: First, the state-registered investment adviser must clearly identify robo-advisers with which it contracts to allow them to provide concurrent investment advisory services to clients. [read post]
3 Oct 2016, 6:30 am
These six requirements are as follows: First, the state-registered investment adviser must clearly identify robo-advisers with which it contracts to allow them to provide concurrent investment advisory services to clients. [read post]
27 Sep 2016, 6:44 am
The investment advisers, Advantage Investment Management, LLC (“AIM”) and Washington Wealth Management, LLC (“WWM”) failed to disclose receipt of revenue from third-party broker-dealers in the form of forgivable loans and the consequent conflicts of interest. [read post]
27 Sep 2016, 6:44 am
The investment advisers, Advantage Investment Management, LLC (“AIM”) and Washington Wealth Management, LLC (“WWM”) failed to disclose receipt of revenue from third-party broker-dealers in the form of forgivable loans and the consequent conflicts of interest. [read post]
23 Sep 2016, 8:48 am
Texas-based broker-dealer Investment Professionals Inc. [read post]
19 Sep 2016, 6:23 am
It sub-licenses these indexes to various unaffiliated investment advisers who manage assets pursuant to those indexes. [read post]
19 Sep 2016, 6:23 am
It sub-licenses these indexes to various unaffiliated investment advisers who manage assets pursuant to those indexes. [read post]
18 Sep 2016, 8:22 am
He serves on the advisory board of Nextlaw Labs. [read post]
9 Sep 2016, 9:56 am
The Securities and Exchange Commission announced on September 8th that two investment advisory firms are settling charges related to compliance failures within their wrap fee programs. [read post]
8 Sep 2016, 8:04 am
If you have invested in American Finance Trust and/or American Realty Capital Retail Centers and would like to speak to a securities attorney about the potential to recover your investment losses, please call The White Law Group at 1-888-637-5510 for a free consultation. [read post]
7 Sep 2016, 5:00 am
In addition, the performance data allegedly failed to reflect the deduction of advisory fees and was not calculated in a manner fully consistent with the advertised investment strategy. [read post]
7 Sep 2016, 5:00 am
In addition, the performance data allegedly failed to reflect the deduction of advisory fees and was not calculated in a manner fully consistent with the advertised investment strategy. [read post]
6 Sep 2016, 10:49 am
” “Your investment is secure. [read post]
1 Sep 2016, 5:00 am
For a group of private fund advisers that operate as a single advisory business to qualify for Umbrella Registration, they must meet these five requirements: The Filing Adviser and each Relying Adviser advise only private funds and/or “qualified clients” in separately managed accounts that are otherwise eligible to invest in the private funds advised by the Filing Adviser or a Relying Adviser and whose accounts pursue investment… [read post]
