Search for: "International Assets Advisory, LLC"
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17 Dec 2023, 9:03 pm
Although the petition suggests that intermediaries are not required to conduct transactions in crypto asset securities, in fact, the Petitioner itself is an intermediary in the crypto asset markets—an intermediary that facilitates transactions on its own internal ledgers rather than using blockchain technology.[7] These regulatory requirements protect investors from manipulation, fraud, and other abuses—all of which have been experienced in the intermediation… [read post]
20 Feb 2019, 6:04 am
From July 2012 until August 2013 Rosensweig was associated with International Assets Advisory, LLC. [read post]
4 Sep 2018, 2:24 pm
From June 2012 until November 2014 Derrico was registered with International Assets Advisory, LLC. [read post]
7 Nov 2018, 6:27 am
James Bashaw has been registered with International Assets Advisory, LLC in Houston, TX since October 29, 2014, FINRA notes. [read post]
10 Jan 2019, 11:28 am
From August 2010 until June 2018 Williams was registered with International Assets Advisory, LLC. [read post]
7 Dec 2018, 6:08 am
Bruce Plyer has 6 disclosures on FINRA BrokerCheck Report, and has worked for 29 years in the securities industry at 4 different firms, including the following: • International Assets Advisory, LLC in Morristown, NJ — December 22, 2016 to February 28, 2017 • Morgan Stanley, Florham Park, NJ — June 1, 2009 to December 23, 2016 • Citigroup Global Markets Inc. [read post]
21 Jun 2022, 8:05 am
Center Street Securities Emerson Equity LLC International Assets Advisory M Stevens Securities Newbridge Securities Corp. [read post]
1 Mar 2010, 12:27 am
March 2 Sponsor: Advanced Fund Administration Event: Advanced Fund Administration - GAIM Cayman Party Location: Cayman Islands March 3 Sponsor: FTF Event: Surviving a Hedge Fund Operational Due Diligence Location: Boston, MA March 3 Sponsor: 100 Women in Hedge Funds Event: A Ringside Seat on Wall Street: Meet Joe Perella Location: New York, NY March 3 Sponsor: Living Group Event: UCITS: Marketing for New Markets Location: London March 4 Sponsor: FTF Event: How to Launch a Hedge Fund… [read post]
10 Mar 2009, 4:52 pm
Madoff s investment advisory business. [read post]
24 Sep 2010, 7:00 am
ICP Asset Management, LLC, ICP Securities, LLC, Institutional Credit Partners, LLC, and Thomas C. [read post]
22 Jul 2013, 11:45 am
Ethanol's best asset may not be on K Street, but in the EPA: new administrator Gina McCarthy. [read post]
22 Jul 2013, 11:45 am
Ethanol's best asset may not be on K Street, but in the EPA: new administrator Gina McCarthy. [read post]
2 Sep 2011, 7:34 pm
Doty is a Senior Compliance Officer at Passport Capital, LLC, a global investment firm managing approximately $4.7 billion in assets. [read post]
8 Feb 2021, 6:13 am
From April 2014 until August 2018 Pan was registered with International Assets Advisory, LLC. [read post]
25 Apr 2015, 4:22 am
(KKR), Managing Director in Business Development at Arden Asset Management and Head of Institutional Sales at the Legg Mason affiliate ClearBridge Advisors (formerly Citi Asset Management). [read post]
16 Jun 2016, 2:48 pm
John Reed Stark As I noted in a recent post, on June 8, 2016, the SEC, in what one commentator called “the most significant SEC cybersecurity-related action to date,” announced that Morgan Stanley Smith Barney LLC had agreed to pay a $1 million penalty to settle charges that as a result of its alleged failure to adopt written policies and procedures reasonably designed to protect customer data, some customer information was hacked and offered for sale online. [read post]
2 May 2012, 6:59 pm
Douglas McNabb and other members of the U.S. law firm practice and write and/or report extensively on matters involving Federal Criminal Defense, INTERPOL Red Notice Removal, International Extradition Defense, OFAC SDN Sanctions Removal, International Criminal Court Defense, and US Seizure of Non-Resident, Foreign-Owned Assets. [read post]
2 May 2012, 6:59 pm
Douglas McNabb and other members of the U.S. law firm practice and write and/or report extensively on matters involving Federal Criminal Defense, INTERPOL Red Notice Removal, International Extradition Defense, OFAC SDN Sanctions Removal, International Criminal Court Defense, and US Seizure of Non-Resident, Foreign-Owned Assets. [read post]
26 Apr 2011, 6:43 am
Leimer was president of the International Trademark Association in 2004 and has served for many years as a director of that organization. [read post]
5 Oct 2009, 5:00 am
Single member LLCs may be tax-exempt as disregarded entities if the sole member is tax-exempt. [read post]
