Search for: "Adviser Dealer Services, Inc."
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24 Dec 2014, 10:54 pm
In conclusion, it seems advisable for entrepreneurs who are interested in setting up a crowndfunding portal to engage the services of an experienced attorney who specializes in securities laws. [read post]
20 Mar 2024, 2:53 pm
AI washing, whether it’s by financial intermediaries such as investment advisers and broker dealers, or by companies raising money from the public, that AI washing may violate the securities laws. [read post]
19 Jan 2016, 6:00 am
Parker MacIntyre, LLC provides legal and compliance services to investment advisers, broker dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
19 Jan 2021, 8:16 am
In addition, some investment advisers manage investment portfolios and offer financial planning services. [read post]
1 Aug 2012, 8:00 am
Once the remedy is available, we will send a notification letter by first class mail advising owners to make an appointment with an authorized Toyota or Lexus dealer to have the remedy performed at no charge. [read post]
10 Apr 2012, 2:19 pm
In other stockbroker fraud news, Citigroup Inc. [read post]
7 Jan 2012, 3:13 pm
Scottrade Inc. and Vanguard Brokerage Services tied for second. [read post]
16 Feb 2023, 7:00 am
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
28 Jan 2013, 6:15 am
Last May, Finra ordered broker-dealers of four major banks, Wells Fargo & Co., Citigroup Global Markets Inc., Morgan Stanley and UBS Financial Services Inc., to pay $9.1 million in fines and restitution for selling such funds “without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
24 Nov 2014, 11:01 am
Our attorneys draw on a combined experience of nearly 50 years in delivering the highest quality legal services. [read post]
9 Oct 2013, 1:32 pm
The UBS Puerto Rico family of funds consists of 14 such closed-end funds, sold exclusively through brokers with UBS Financial Services Inc. of Puerto Rico. [read post]
1 Jan 2015, 12:01 pm
Goldman Sachs Group Inc. is forecasting further downside in prices and lingering price volatility. [read post]
9 May 2024, 3:08 pm
As AI increasingly takes over the mainstream in the coming years, investors must remain attentive to the representations RIAs and broker-dealers make about utilizing AI in the financial services they offer to public investors. [read post]
8 Nov 2021, 9:40 am
”Major auction houses, meanwhile, advised FinCen that the majority of their sales are not even cash-based, with Christie’sexplaining that “[c]ash transactions … in New Yor [read post]
1 Apr 2019, 10:39 am
Dependable Sales & Service, Inc. v. [read post]
20 Jan 2016, 11:17 am
Loofbourrow Associates, Inc. [read post]
29 Feb 2016, 10:23 am
Lax & Neville LLP has nationally represented small broker-dealers, financial services professionals and securities industry companies in regulatory matters and securities-related and commercial litigation. [read post]
26 Oct 2018, 12:44 pm
Parker MacIntyre provides legal and compliance services to investment advisers, broker-dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
5 May 2017, 11:23 am
Although the industry regulator, the Financial Industry Regulatory Authority, Inc. [read post]
24 Mar 2020, 4:01 pm
Nebraska: issued guidance for broker-dealers, agents, investment advisers and investment adviser representatives. [read post]
