Search for: "Mutual Management Services LLC"
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8 Aug 2017, 2:30 pm
Only licensed practitioners i.e. holders of a company management (registered agent), trust or offshore banking license or their approved overseas agents, are allowed access to the system. [read post]
10 Jan 2018, 4:40 pm
Graham Northwestern Mutual Investment Services, LLC Steven Harris MML Investors Services, LLC MSI Financial Services, LLC Kimberlyann Huegel Vanguard Marketing Corporation The Vanguard Group, Inc. [read post]
16 Jun 2020, 7:14 am
Yousuf Saljooki Worden Capital Management LLC Salomon Whitney Financial Ricardo Urrutia Mutual of Omaha Investor Services, Inc. [read post]
3 Apr 2024, 8:47 am
In In re SC SJ Holdings, LLC, 2024 WL 1328233 (3rd. [read post]
11 May 2017, 7:36 am
The SEC’s order finds that two Barclays advisory programs charged fees to more than 2,000 clients for due diligence and monitoring of certain third-party investment managers and investment strategies when in fact these services weren’t being performed as represented. [read post]
23 Dec 2013, 8:49 am
Furthermore, David Cosgrove, the managing-member of Cosgrove Law Group, LLC and former securities industry regulator, has recently established the Investment Adviser Rep. [read post]
6 Mar 2018, 8:13 am
Graham Northwestern Mutual Investment Services, LLC Kimberlyann Huegel Vanguard Marketing Corporation Randall William Hunt Ameriprise Financial Services, Inc. [read post]
12 Jan 2018, 8:48 am
Monica Jean O’Neill Mutual of Omaha Investors Services, Inc. [read post]
21 Dec 2020, 4:03 am
The latter scenario generally describes what happened in Franco v Avalon Freight Services LLC, C.A. [read post]
7 Dec 2009, 11:01 am
Directly related to this is the issue of 12b-1 fees which are automatically deducted from mutual funds to compensate securities professionals for sales and services provided to mutual fund investors. [read post]
25 Apr 2016, 3:17 am
Their petition (read here) alleges that the New Jersey court, in violation of the Operating Agreement and Member Agreement requiring a mutually acceptable choice, appointed as the fifth Director “ALC’s hand-picked nominee” who will “rubber-stamp” ALC’s plans to oust Belardi and Ostroy from their management roles and continue the support services arrangement. [read post]
25 Apr 2016, 3:17 am
Their petition (read here) alleges that the New Jersey court, in violation of the Operating Agreement and Member Agreement requiring a mutually acceptable choice, appointed as the fifth Director “ALC’s hand-picked nominee” who will “rubber-stamp” ALC’s plans to oust Belardi and Ostroy from their management roles and continue the support services arrangement. [read post]
30 Jul 2011, 2:31 am
First Trust Advisors L.P., the Fund’s investment advisor, along with its affiliate First Trust Portfolios L.P., are privately-held companies which provide a variety of investment services, including asset management, financial advisory services, and competitive municipal underwritings, with collective assets under management or supervision of approximately $51 billion as of June 30, 2011 through unit investment trusts,… [read post]
30 Aug 2019, 5:53 am
Why Isn’t Your Mutual Fund Sticking Up for You? [read post]
8 Dec 2022, 12:07 pm
appeared first on Zamansky LLC. [read post]
9 Nov 2015, 3:55 pm
Associated Entities: Principal Financial Services, Inc.; Principal Life Insurance Company; Principal Real Estate Investors, LLC; Spectrum Asset Management, Inc.; Post Advisory Group, LLC; Columbus Circle Investors; Edge Management, Inc.; Morley Financial Services Inc.; Finisterre Capital, LLP. [read post]
13 Aug 2020, 3:43 am
In Teatotaller, LLC v. [read post]
29 Jun 2011, 3:22 pm
” The issue is whether that phrase allows a manager to be sued in Delaware in an action that relates the business of the LLC if the allegations in the complaint focus on the rights, duties and obligations the manager owes to his organization and not to external entities, such as the stockholders of a client mutual fund. [read post]
2 Sep 2011, 7:34 pm
Doty served as Director of Fund Administration at Genworth Financial Wealth Management and Treasurer to its mutual fund companies. [read post]
30 Jan 2019, 1:03 pm
According to FINRA Disciplinary actions for January 2019, 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 Alfaro, Jennifer JP Morgan Securities LLC JP Morgan Chase Bank Austin, Aaron LPL Financial LLC M&T Securities, Inc Austin,… [read post]
