Search for: "Adviser Dealer Services, Inc."
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16 Nov 2018, 4:00 am
The SEC contends that Kelly falsely represented himself as both an investment adviser and a broker-dealer. [read post]
18 Jul 2016, 7:29 am
June 14, 2016), pitted a Microsoft-authorized dealer against a Google-authorized dealer regarding the IRS’s email service. [read post]
30 Nov 2021, 8:38 am
(CRD#:38095) of Valrico, FL, Ameriprise Financial Services, Inc. [read post]
8 Mar 2012, 9:55 am
Last year, as mandated by Dodd-Frank’s Section 919B, the Commission put out a study and recommendations on how to better investor access to information related to broker-dealer and investment adviser registration. [read post]
29 Sep 2015, 10:42 am
Amax Lighting, Inc. and In re Driven Innovations, Inc. [read post]
29 Sep 2015, 10:42 am
Amax Lighting, Inc. and In re Driven Innovations, Inc. [read post]
10 Sep 2007, 8:35 am
Additionally, Commonwealth and Detwiler were each censured and McCarty was barred from acting in a supervisory capacity with any broker, dealer or investment adviser. [read post]
17 Sep 2017, 7:30 pm
First Marblehead, a leader in creating solutions for education finance, provides outsourcing services for private, non-governmental, education lending in the United States. [read post]
1 Sep 2023, 6:44 am
Clarice Saw (Clarice Crystal Saw CRD 2633118, aka “Chin Saw,” “Clarice Chin Saw”) was previously employed by Cetera Investment Advisers LLC (CRD# 105644 and 1540) of Flushing, NY, Citigroup Global Markets Inc. [read post]
7 Feb 2013, 2:54 pm
He has litigated cases against Intel Corporation, Toyota Motor Sales, USA, Inc., Honda North America, Inc., Aston Martin Lagonda of North America, Inc., BMW of North America, LLC, Mercedes-Benz USA, LLC, Keyes European, LLC, Rusnak Enterprises, LLC and Wells Fargo Auto Finance, Inc. [read post]
15 Nov 2012, 11:56 am
FINRA has filed a temporary cease-and-desist order barring WR Rice Financial Services Inc. and Joel I. [read post]
6 Apr 2010, 5:00 am
(USA) Inc., 406, F. [read post]
6 Oct 2018, 6:04 am
This adds to the regulatory questions already surrounding ICOs, including broker-dealer and investment advisor registration. [read post]
11 Feb 2015, 3:22 pm
New evidence suggests that UBS Financial Services Inc. [read post]
3 Jun 2016, 7:04 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 Sep 2023, 1:51 pm
He additionally has served as an investment adviser with Capital Investment Advisory Services, LLC, since 2010. [read post]
28 Sep 2023, 1:51 pm
He additionally has served as an investment adviser with Capital Investment Advisory Services, LLC, since 2010. [read post]
28 Sep 2023, 1:51 pm
He additionally has served as an investment adviser with Capital Investment Advisory Services, LLC, since 2010. [read post]
25 Feb 2020, 7:08 am
Stoltmann Law Offices is investigating claims made by the Securities and Exchange Commission (SEC) against Robert Gravette, Mark MacArthur, and their Registered Investment Advisory firm, Criterion Wealth Management Insurance Services, Inc. [read post]
19 Sep 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]
