Search for: "American Investment Exchange, LLC"
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10 Sep 2013, 9:31 am
Chicago Convention Ctr., LLC, Case No. 13 C 982, 2013 WL 4012638 (N.D. [read post]
16 Sep 2014, 7:15 am
., was fired by SII Investments, Inc. for unauthorized trading, was fired by Kovack Securities, Inc. because of complaints alleging unauthorized trades, and finally was fired by Sandlapper Securities, LLC for soliciting sales of variable annuities without being properly appointed by the issuing company. [read post]
27 Jan 2012, 11:46 am
As reported by the North American Securities Administrators Association (NASAA), some of the most popular financial scams involve “investment pools” to collect money that is then used to purchase and renovate distressed real estate properties. [read post]
4 Mar 2011, 11:22 am
Panel 2: Private Investment Companies Eric Edwards, Vice President, Government Affairs, Goldman Sachs; Stuart Kaswell, Executive Vice President and Managing Director, General Counsel, Managed Funds Association; Ted Laurenson, Partner, McDermott, Will & Emery; Thomas Lemke, General Counsel, Legg Mason; Charles Lerner, Principal, Fiduciary Compliance Associates, LLC 11:15 a.m. [read post]
1 Oct 2014, 6:26 am
Furthermore, all brokers must recommend the purchase, sale or exchange of securities that are reasonable given the customers investment objectives and risk tolerances. [read post]
18 Mar 2021, 8:09 am
Accordingly, Piwowar believes that the SEC should revisit the accredited investor definition and engage in rulemaking to open up private investment opportunities to all Americans. [read post]
17 Jan 2022, 2:09 pm
Marks Baughan Securities LLC served as the exclusive financial advisor to Casetext. [read post]
17 Jan 2022, 2:09 pm
Marks Baughan Securities LLC served as the exclusive financial advisor to Casetext. [read post]
16 Dec 2021, 10:30 am
most non-traded REITS are structured as a “finite life investment,” meaning that at the end of a given timeframe, the REIT is required either to list on a national securities exchange or liquidate. [read post]
16 Feb 2022, 12:32 pm
Supreme Court case, Shearson/American Express v. [read post]
6 Mar 2023, 1:37 pm
The Strategy stresses the importance of creating a distributed network of cyber defense, developed by collaboration between defenders and enabled by the automated exchange of information. [read post]
14 Nov 2023, 9:01 pm
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
8 Sep 2020, 7:30 am
Last week, the White House directed the Federal Retirement Thrift Investment Board, the body that manages the 401(k) for federal employees, to halt investments in Chinese companies. [read post]
25 Aug 2023, 5:58 pm
McCormick, Chancellor, Delaware Court of ChanceryRick Alexander, Founder and Chief Executive Officer, The Shareholder CommonsJames Cole, Jr., Chairman & Chief Executive of The Jasco Group, LLC; Director and Chair of the Nominating and Governance Committee, AIGMichelle Edkins, Managing Director, Blackrock Investment StewardshipPeggy Foran, Chief Governance Officer, Senior Vice President and Corporate Secretary, Prudential Financial, Inc.Lawrence A. [read post]
30 Mar 2023, 10:04 am
Truist Investment Services A Latin American family is just one of the many investors that lost money in Northstar. [read post]
2 Aug 2023, 11:54 am
FINRA is overseen by the Securities and Exchange Commission (SEC) and is authorized by Congress to protect U.S. investors from investment fraud by making sure the broker-dealer industry operates fairly and honestly. [read post]
11 Aug 2023, 12:49 pm
FINRA is overseen by the Securities and Exchange Commission (SEC) and is authorized by Congress to protect U.S. investors from investment fraud by making sure the broker-dealer industry operates fairly and honestly. [read post]
18 Jan 2022, 12:15 pm
It includes sales, exchanges, gifts, transfers, redemptions, etc. [read post]
8 Jun 2015, 10:07 am
By Richard Baker, President of New England Intellectual Property, LLC The American Invents Act, passed into law in 2011, is one of the biggest changes to US patent laws in the past fifty years. [read post]
29 Aug 2017, 9:04 pm
A bank investment group wants him removed while the JBS S.A. [read post]
