Search for: "Mutual Management Services LLC"
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18 Jul 2008, 4:59 pm
The suit filed on July 17 claims that, pursuant to uniform sales materials and top-down management directives, Bank of America offered and sold auction rate securities to the public as highly liquid cash-management instruments and as suitable alternatives to money market mutual funds. [read post]
8 May 2020, 9:36 am
Mark Schneck Northwestern Mutual Investment Services LLC MML Investors Services,LLC Cynthia Tarner Dennis Taylor Taylor Capital Management Inc. [read post]
24 Nov 2009, 12:37 am
Related Management Co. [read post]
2 Oct 2018, 5:40 am
Robin Lomont Jeffrey Offen Craft Capital Management LLC Salomon Whitney Financial Shawn Palmer LPL Financial LLC Woodbury Financial Services, Inc Somning Pheth Wells Fargo Clearing Services, LLC Wells Fargo Bank NA Phillip Schreiner Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
18 May 2007, 1:23 am
Washington Mutual Inc. [read post]
27 Apr 2015, 4:00 am
Associated Entities: The Guardian Insurance & Annuity Company, Inc.; Berkshire Life Insurance Company of America; Guardian Investor Services, LLC; Park Avenue Securities LLC; RS Investment Management Co. [read post]
24 May 2022, 5:00 am
(BNYMIA), a wholly-owned subsidiary of The Bank of New York Mellon Corporation, is a registered investment adviser with over $380 billion in regulatory assets under management, including over $350 billion in mutual funds or other investment companies. [read post]
5 Nov 2017, 7:33 am
According to BrokerCheck records financial advisor Herbert Smith (Smith), currently associated with Kestra Investment Services, LLC (Ketra Investment), has been subject to one customer complaint and two tax liens. [read post]
29 Sep 2015, 2:47 pm
Allegedly, Ramirez lied to the branch manager when questioned about suspicious transactions involving the closed ended mutual funds. [read post]
20 Jan 2018, 8:43 am
Herman’s Managed Care Litigation Update® biweekly newsletter will soon be available on the Fastcase legal research system. [read post]
22 Feb 2022, 12:09 pm
Ian Ha Infinity Financial Services AXA Advisors, LLC Ikea Huggins Narith Long NYLife Securities LLC Northwestern Mutual Investment Services, LLC Frank Mathis Fidelity Brokerage Services LLC TD Ameritrade, Inc. [read post]
9 May 2008, 8:02 am
The suit filed on May 8 claims that, pursuant to uniform sales materials and top-down management directives, UBS offered and sold auction rate securities to the public as highly liquid cash-management instruments and as suitable alternatives to money market mutual funds. [read post]
5 Dec 2010, 6:00 am
The United States focuses on the unique relationship between a mutual fund and its adviser and emphasizes First Derivative’s allegation below that Janus was responsible for the “day-to-day” management of the Funds to whom the misstatements were attributed. [read post]
18 Sep 2019, 6:38 am
Grange Mutual Ins. [read post]
8 Oct 2009, 2:54 am
The presentation was moderated by Ron Resnick (ConselWorks LLC) and included the following panel participants: John Burbank (Passport Capital LLC) John Shearman (Albourne America, LLC) Matt Kratter (Kratter Capital LLC) Patrick Wolff (Clarium Capital Management, LLC) Overall the panel discussion was very interesting and I think that Ron did a very good job of moderating in a kind of "Meet the Press" type of way. [read post]
1 Sep 2023, 6:44 am
(CRD# 7059) of New York, NY, and LPL Financial LLC (CRD# 6413) of Ardsley, NY. [read post]
14 Oct 2022, 8:44 am
During the relevant time, PIA was a subsidiary of Insurance Administrative Solutions, LLC; which was a subsidiary of Gulfcoast Administrators, LLC; which was majority-owned by Life & Health Holdings, Inc.; which was a subsidiary of State Mutual Insurance Company. [read post]
20 Nov 2013, 2:22 pm
About Sansome Strategies LLC Sansome Strategies is a compliance consulting firm specializing in high-touch, outsourced compliance services for businesses in the investment management industry. [read post]
28 Sep 2017, 12:22 pm
Calamari received the SEC and NTEU Labor-Management Relations Award, which honors SEC staff who have contributed significantly to labor-management relations.Prior to his work at the SEC, Mr. [read post]
SOX Whistleblower Protection Extends to Employees of Private Contractors, According to Supreme Court
6 Mar 2014, 2:26 pm
FMR LLC, 571 U.S. ___ (2014). [read post]
