Search for: "ADVISER DEALER SERVICES, INC."
Results 21 - 40
of 456
Sorted by Relevance
|
Sort by Date
7 Aug 2018, 6:00 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]
4 Jul 2022, 9:08 am
Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) represents many other claimants against Truist, a SunTrust Investment Services, Inc. broker-dealer subsidiary. [read post]
5 Oct 2018, 11:39 am
On September 26, 2018, the SEC announced a settlement with Voya Financial Advisers, Inc. [read post]
30 Mar 2023, 10:04 am
After being introduced to a broker at Truist Investment Services through Sunbank, they were advised to invest in Northstar Financial Services Bermuda. [read post]
10 Nov 2017, 7:57 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]
15 Jun 2009, 6:55 am
The SEC recently charged Alabama broker-dealer Aura Financial Services, Inc., and six registered representatives with churning of customer accounts, supervisory failures, and other securities violations that resulted in significant harm to clients and substantial profit to the firm. [read post]
28 Dec 2020, 8:14 am
The SEC Sanctions Voya Financial Advisors Inc. for Alleged Breach of Fiduciary Duty Voya Financial Advisors, Inc., based in Des Moines, Iowa, is a dually registered investment adviser and broker-dealer with $15.9 billion under management. [read post]
1 Oct 2018, 6:27 am
A recent settlement with Ameriprise Financial Services Inc., a registered investment adviser and broker dealer, suggests that the Commission isn’t inclined to look the other way when a technology failure goes undetected. [read post]
2 Jul 2014, 7:01 am
Inc. in 2008 and came to Raymond James on February 2013. [read post]
15 Jul 2016, 12:44 pm
The parties agreed to the judgment without admitting or denying the allegations.Furthermore, the SEC permanently has barred Weiss from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. [read post]
23 May 2016, 10:12 am
Brochu had been permanently barred from any securities industry dealings in the state of New Hampshire, the SEC barred Brochu from an association with any broker, dealer, investment adviser, municipal securities dealer, municipal adviser, transfer agent, or nationally recognized statistical rating organization.A resident of Wells, Maine, Brochu registered his company Kleossum, Inc. with the SEC in 2010 and then with the state of New Hampshire in 2012. [read post]
21 Mar 2012, 3:40 pm
The Hartford Financial Services Group Inc.'s recently announced its intent to sell independent broker-dealer Woodbury Financial Services Inc., which marks its move to exit the independent broker-dealer market. [read post]
23 Aug 2017, 11:55 am
The five firms are: Cetera Investment Services, Cetera Financial Specialists, First Allied Securities Inc., Summit Brokerage Services Inc., and Girard Securities Inc. [read post]
5 Dec 2019, 9:01 pm
CSC’s broker-dealer subsidiary is Charles Schwab & Co., Inc. [read post]
27 Mar 2017, 9:00 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]
13 May 2016, 6:02 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]
7 Jun 2012, 5:00 am
On Wednesday, the House Financial Services Committee held a hearing on the Investment Adviser Oversight Act. [read post]
3 Jul 2018, 8:38 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]
3 Jul 2018, 8:38 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]
27 Mar 2015, 12:02 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Cambridge Investment Research Inc., an independent broker-dealer, is expanding a current offering by a sister company, Continuity Partners Group to provide capital for succession planning and acquisitions to its affiliated advisers.Cambridge Investment Research has seen steady growth over the past dozen years and, with $650 million in total revenues in 2014, is one of the 10 largest independent broker-dealers in the… [read post]
