Search for: "Principal Financial Advisors, Inc."
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6 Aug 2021, 8:40 am
FINRA’s recent investigations and sanctions against financial institutions, brokers, and advisors for options-related violations demonstrate how serious rules relating to options approval and option trading are. [read post]
13 Jul 2021, 5:54 am
In December 2020, the SEC filed an action against Ripple Labs Inc. [read post]
3 Jul 2021, 4:37 am
Court Reporting Business (Divestiture)Veritext Legal Solutions 11-Feb-19Propulse VideoTransPerfect 11-Feb-19QUiVX eDiscoveryXact Data Discovery 7-Feb-19Luminance (Investee)Invoke Capital, Talis Capital, and Slaughter and May (Investors)$10,000,000 31-Jan-19Catalyst Repository SystemsOpenText$75,000,000 25-Jan-19Cognatio LawElevate 24-Jan-19DISCO (Investee)Georgian Partners, Bessemer Venture Partners, LiveOak Venture Partner, The Stephens Group, Comerica (Investors)$83,000,000 21-Jan-19Yerra… [read post]
16 Jun 2021, 12:32 pm
(REJ), a Louisiana corporation whose principals were independent financial advisors for Ameriprise Financial Services, Inc. [read post]
7 Jun 2021, 9:29 am
Agency for International Development; Dean Thompson, acting assistant secretary of state for South and Central Asian affairs; and Francisco Bencosme, senior advisor to the acting assistant secretary of state for East Asian and Pacific affairs. [read post]
1 Jun 2021, 12:14 pm
Mike White, principal director for hypersonics in the Office of the Under Secretary of Defense for Research will discuss the budgetary and programmatic implications of hypersonic strike and defense. [read post]
20 May 2021, 6:49 am
., No. 20-1143, a Louisiana woman, Badgerow, was employed as a financial advisor by a Louisiana corporation whose three principals were independent franchise advisors for Ameriprise. [read post]
17 May 2021, 2:49 pm
William Chase III, deputy principal cyber advisor to the secretary of defense, and Jesse Salazar, deputy assistant secretary of defense for industrial policy. [read post]
26 Apr 2021, 9:32 am
The committee will hear testimony from Douglas Glenn, deputy chief financial officer for the Defense Department; Wesley Miller, senior official performing the duties of the assistant Army secretary for financial management; Alaleh Jenkins, senior official performing the duties of the assistant Navy secretary for financial management; and Stephen Herrera, principal deputy assistant secretary of the Air Force for financial management. [read post]
22 Apr 2021, 6:15 am
Broker-dealers under the Advisor Group (which includes SagePoint Financial, Royal Alliance Associates Inc., Triad, Woodbury Financial Services, and FSC Securities) have increased legal reserves by about $4.4 million compared to the prior year, according to SEC filings. [read post]
9 Apr 2021, 6:19 am
Matthews, Sutter Securities Financial Services, Inc., and Matthew L. [read post]
1 Apr 2021, 5:53 am
Court Reporting Business (Divestiture)Veritext Legal Solutions 11-Feb-19Propulse VideoTransPerfect 11-Feb-19QUiVX eDiscoveryXact Data Discovery 7-Feb-19Luminance (Investee)Invoke Capital, Talis Capital, and Slaughter and May (Investors)$10,000,000 31-Jan-19Catalyst Repository SystemsOpenText$75,000,000 25-Jan-19Cognatio LawElevate 24-Jan-19DISCO (Investee)Georgian Partners, Bessemer Venture Partners, LiveOak Venture Partner, The Stephens Group, Comerica (Investors)$83,000,000 21-Jan-19Yerra… [read post]
17 Mar 2021, 9:51 am
November 16, 2020 – FINRA Reportedly Bars Cambridge Advisor Lynn Cawthorne after Alleged Felony Charges The Financial Industry Regulatory Authority (FINRA) reportedly barred ex-Cambridge financial advisor Lynn Cawthorne on November 16, 2020 after he allegedly refused to provide information in connection with an investigation into his purported failure to disclose multiple felony charges and other potential violations. [read post]
16 Mar 2021, 2:42 pm
The Board’s financial advisor recommended that, in the context of a transaction where the Company retained all of its business, the Company could support a debt to EBITDA ratio of 5.1 times its estimated 2013 EBITDA. [read post]
8 Mar 2021, 8:18 am
Shillin’s misrepresentations about his financial status. [read post]
19 Feb 2021, 1:56 pm
First Landing is an investment fund formed in 2015 and is managed by Vantage Consulting Group, Inc., a Virginia-based SEC-registered investment adviser firm. [read post]
2 Feb 2021, 5:48 am
John Krohn (John Michael Krohn CRD#:2722975) is a former registered broker and investment advisor whose last known employer was Principal Securities, Inc. [read post]
10 Jan 2021, 5:39 am
Court Reporting Business (Divestiture)Veritext Legal Solutions 11-Feb-19Propulse VideoTransPerfect 11-Feb-19QUiVX eDiscoveryXact Data Discovery 7-Feb-19Luminance (Investee)Invoke Capital, Talis Capital, and Slaughter and May (Investors)$10,000,000 31-Jan-19Catalyst Repository SystemsOpenText$75,000,000 25-Jan-19Cognatio LawElevate 24-Jan-19DISCO (Investee)Georgian Partners, Bessemer Venture Partners, LiveOak Venture Partner, The Stephens Group, Comerica (Investors)$83,000,000 21-Jan-19Yerra… [read post]
1 Jan 2021, 6:14 am
Court Reporting Business (Divestiture)Veritext Legal Solutions 11-Feb-19Propulse VideoTransPerfect 11-Feb-19QUiVX eDiscoveryXact Data Discovery 7-Feb-19Luminance (Investee)Invoke Capital, Talis Capital, and Slaughter and May (Investors)$10,000,000 31-Jan-19Catalyst Repository SystemsOpenText$75,000,000 25-Jan-19Cognatio LawElevate 24-Jan-19DISCO (Investee)Georgian Partners, Bessemer Venture Partners, LiveOak Venture Partner, The Stephens Group, Comerica (Investors)$83,000,000 21-Jan-19Yerra… [read post]
13 Dec 2020, 3:25 am
The following listing highlights key industry business moves by sharing the announcement date, parties involved, and amounts (if available) of significant eDiscovery-related mergers, acquisitions, and investments. eDiscovery Mergers, Acquisitions, and Investments Event DateAcquired (Investee)Acquirer (Investor)Amount (Estimated $) 4-Dec-20Nuix LImited (NXL) - IPOAustralian Stock Exchange (ASX) 3-Dec-20AccessDataExterro 1-Dec-20CicaydaTCDI 12-Nov-20Hyperion Global PartnersEpiq 10-Nov-20Digital… [read post]
