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6 Apr 2023, 7:24 am
” According to the letter, Grassley has requested this event from every president since Ronald Raegan. [read post]
6 Apr 2023, 7:23 am
According to their FINRA BrokerCheck profile, the firm has 7 regulatory events, two arbitrations and one bond. [read post]
6 Apr 2023, 5:24 am
This judicial step is of extreme importance in light of recent events. [read post]
5 Apr 2023, 9:05 pm
Taken together, our findings support recent changes in federal regulation that overturned Trump-era rules largely banning ESG considerations in retirement funds. [read post]
5 Apr 2023, 7:14 pm
According to the firm’s CRD, Berthel, Fisher and Co. has been named in at least 27 regulatory events related to possible securities fraud violations. [read post]
5 Apr 2023, 2:05 pm
Packerland Brokerage Services, based in Green Bay, Wisconsin reportedly has two regulatory events on their broker profile, according to FINRA, the self-regulator that oversees brokers and brokerage firms. [read post]
5 Apr 2023, 12:31 pm
To the extent that is the case, the two lawsuits would not appear to be competing to try to capture the same set of insurance funds. [read post]
5 Apr 2023, 7:09 am
Where a couple has agreed to have a pension share in respect of such a fund, the percentage of the fund to be shared may need to be recalculated to reflect the increased value of the fund. [read post]
5 Apr 2023, 6:05 am
However, two recent high-profile events on U.S. soil – the attempted kidnapping and assassination of Iranian women’s-rights activist Masih Alinejad, and the attempted assassination of famed author Salman Rushdie – again raise the question of whether and how the U.S. legal system can hold accountable not just the individual actors who directly engage in such wrongdoing, but also the authoritarian regimes, officials, and entities who direct, inspire, fund, and… [read post]
4 Apr 2023, 4:19 pm
After its publication, three major events unfolded. [read post]
4 Apr 2023, 3:00 pm
Rawlins Smith brings more than a decade of experience in fund development, securing significant public and private philanthropic dollars to resource organizations that drive transformative social change. [read post]
4 Apr 2023, 1:19 pm
Freeze requested and received funds to be invested in Alternative Energy Holdings, possibly a Reg D investment outside the scope of a limited purpose broker dealer. [read post]
4 Apr 2023, 12:13 pm
Rawlins Smith brings more than a decade of experience in fund development, securing significant public and private philanthropic dollars to resource organizations that drive transformative social change. [read post]
4 Apr 2023, 11:29 am
Communications include firm news, insights, and events. [read post]
4 Apr 2023, 10:02 am
Before becoming a judge, Duncan worked for the Beckett Fund for Religious Liberty litigating numerous cases against LGBTQ+ and reproductive rights. [read post]
4 Apr 2023, 5:31 am
Al-Masri described the events leading up to 9/11 [read post]
4 Apr 2023, 4:10 am
The agenda for the event contemplates coverage of a number of important topics: – Exploring the Early-Stage Landscape: Trends and Strategies in Capital Raising – Building Entrepreneurial Ecosystems: Laying the Groundwork to Support Small Businesses and Their Investors – Investing in Small Business: Successes and Challenges Facing Smaller Funds – Accessing the Public Markets: Becoming and Staying a Public Reporting Company Registration for the event… [read post]
4 Apr 2023, 2:19 am
Russian President Vladimir Putin signed a decree establishing a state fund to support military personnel who participate in the war in Ukraine and their families. [read post]
3 Apr 2023, 9:01 pm
The Proposal expands the types of client assets captured beyond “client funds or securities” and captures any client “assets,” including “funds, securities or other positions held in the client’s account” over which an Adviser has custody. [read post]
3 Apr 2023, 6:45 pm
Our Skilled Retirement Loss Lawyers Can Help You Determine Whether You Have Grounds For Financial Recovery Whether you are an elderly investor who has worked for decades to acquire a healthy savings balance or a younger investor preparing for later in life, Shepherd Smith Edwards and Kantas (investorlawyers.com) know how devastating it can be to lose your retirement funds whether due to an adverse event or because your financial advisor was negligent, careless, or… [read post]
