Search for: "Investment Management Advisory Group"
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3 Jun 2016, 7:04 am
In a June enforcement action against SFX Financial Advisory Management Enterprises Inc., the firm’s president was charged with stealing $670,000 in client funds over a five-year period. [read post]
31 May 2016, 4:05 pm
Stamer helps management manage. [read post]
31 May 2016, 5:38 am
However, according to Tolmacs’ public records his outside business activities includes Harbinger Financial Group, Inc – listed as an insurance agency, and Harbinger Asset Management, Inc which is listed as a registered investment advisory firm. [read post]
26 May 2016, 12:05 pm
Health plans and health insurers, health care providers, healthcare clearinghouses (Covered Entities) and their business associates should verify that their copying charges and other policies and practices for responding to requests of individuals for copies and other access to protected health information (PHI) comply with the Privacy and Security Rules (Privacy Rule) of the Health Insurance Portability & Accountability Act of 1996 (HIPAA) as construed in a new Frequently Asked Question (FAQ… [read post]
22 May 2016, 1:26 pm
In March 2013, the SEC filed a civil injunctive action and obtained an asset freeze against Caplitz and Insight Onsite Strategic Management, Herman’s investment advisory firm. [read post]
20 May 2016, 6:16 am
(“SPC”) and one of its accountants, finding that SPC and the accountant conducted deficient surprise audits of investment adviser SFX Financial Advisory Management Enterprises (“SFX”). [read post]
18 May 2016, 9:56 am
Igor’s group audits industry participants. [read post]
17 May 2016, 4:24 am
The Vistria Group — Founded in 2013, Vistria focuses on making investments in middle-market companies. [read post]
15 May 2016, 3:04 pm
We help you explore all options to manage risk of losing key employees or partners. [read post]
9 May 2016, 2:00 am
Under an agreement approved by shareholders in 1988, Soros Fund Management is paid a basic investment advisory fee of 1 per cent a year, payable monthly. [read post]
6 May 2016, 11:45 am
Stamer helps management manage. [read post]
27 Apr 2016, 9:01 am
On the other hand, group health plans and insurers that carefully design and administer their arrangements to comply with the guidance also can take advantage of opportunities to manage utilization and costs using the narrow windows of opportunity offered within the guidance. [read post]
27 Apr 2016, 9:01 am
On the other hand, group health plans and insurers that carefully design and administer their arrangements to comply with the guidance also can take advantage of opportunities to manage utilization and costs using the narrow windows of opportunity offered within the guidance. [read post]
24 Apr 2016, 5:33 pm
I'm also on the advisory board of NextLaw Labs, which made the wise decision to invest in ROSS. [read post]
21 Apr 2016, 10:07 am
Raleigh Orthopaedic is a provider group practice that operates clinics and a surgery center in the Raleigh, North Carolina area. [read post]
21 Apr 2016, 10:07 am
Raleigh Orthopaedic is a provider group practice that operates clinics and a surgery center in the Raleigh, North Carolina area. [read post]
20 Apr 2016, 6:00 am
This new definition includes investment advice to rollover IRAs, which the DOL had previously stated in an advisory opinion was not fiduciary investment advice. [read post]
18 Apr 2016, 9:15 am
Ellis, Jr., who managed and jointly owned Paul-Ellis Investment Associates, LLC (PEIA), created materially false and fraudulent marketing material in order to induce Florida residents to attend the “Free Dinner” seminar. [read post]
12 Apr 2016, 3:50 pm
” For purposes of the rule, “covered investment advice” generally includes: A recommendation to a plan, plan fiduciary, plan participant and beneficiary and IRA owner for a fee or other compensation, direct or indirect, as to the advisability of buying, holding, selling or exchanging securities or other investment property, including recommendations as to the investment of securities or other property after the securities or other property are rolled over… [read post]
12 Apr 2016, 3:50 pm
” For purposes of the rule, “covered investment advice” generally includes: A recommendation to a plan, plan fiduciary, plan participant and beneficiary and IRA owner for a fee or other compensation, direct or indirect, as to the advisability of buying, holding, selling or exchanging securities or other investment property, including recommendations as to the investment of securities or other property after the securities or other property are rolled over… [read post]
