Search for: "Adviser Dealer Services, Inc."
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31 Aug 2021, 11:38 am
(collectively, Cambridge); and KMS Financial Services Inc. [read post]
4 Apr 2011, 9:02 am
$339,000 Beneficial Investor Services (firm's status as broker-dealer unclear) $322,000 Fox & Company Investments Inc. [read post]
13 Nov 2014, 12:01 pm
The attorneys of Eccleston Law Offices represent investors and advisers nationwide in securities and employment matters. [read post]
4 Nov 2015, 11:09 am
The recent firms are Edward Jones, Stifel Nicolaus & Co., Janney Montgomery, AXA Advisors, and Stephens Inc. [read post]
17 Apr 2015, 12:01 pm
Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. [read post]
5 Jun 2015, 5:32 am
The company is now defunct.Neilsen previously was registered as a broker-dealer agent of Tradition Asiel Securities Inc. from December 17, 2004 to July 2, 2007, and with Sound Securities, LLC from August 7, 2008 to December 9, 2009. [read post]
5 Jan 2015, 12:01 pm
They used a Staten Island-based company, Premier Links, Inc., as an unregistered broker dealer from 2006-2012. [read post]
29 Aug 2016, 4:00 am
Public Citizen, Inc. has filed an amicus brief in support of the U.S. [read post]
28 Sep 2022, 8:06 am
The Securities and Exchange Commission has filed charges against 15 broker-dealers and an affiliated investment adviser for widespread failures by the firms and employees to maintain and preserve electronic communications in violation of securities laws. [read post]
15 Sep 2017, 11:51 am
I have been fortunate to work cooperatively and collegially with professionals, all of whom have been bound by our deep commitment to public service. [read post]
8 Oct 2012, 9:46 am
On October 3, 2012 the SEC charged Chicago-based registered investment adviser, GEI Financial Services, Inc. [read post]
9 Jul 2015, 11:27 am
Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. [read post]
31 Jul 2020, 10:00 am
VALIC is a SEC-registered investment adviser and broker-dealer that specializes in retirement plans for schools, colleges, and not-for-profit organizations. [read post]
5 Sep 2014, 6:20 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm optionsXpress, Inc. [read post]
15 Nov 2018, 2:49 pm
Finn received or may receive from his current employer, UBS Financial Services Inc. [read post]
16 Jan 2015, 12:01 pm
No.5: Two independent broker-dealers owned by Ladenburg Thalmann Financial Services Inc. fined for $1.275 millionReason for Fine: Failure to supervise hundreds of brokers who created and sent false and inaccurate consolidated account statements to clients. [read post]
15 Dec 2022, 7:09 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]
Crowdfunding Right Now (Fund Model, Broker-Dealer Model, Lending Platforms and Intrastate Offerings)
6 Aug 2014, 10:49 am
A good example is CircleUp Network, Inc. [read post]
8 Nov 2021, 9:40 am
”Major auction houses, meanwhile, advised FinCen that the majority of their sales are not even cash-based, with Christie’sexplaining that “[c]ash transactions … in New York are rare” [read post]
26 Apr 2018, 3:59 am
She has nearly 30 years’ experience as a writer/editor of financial services news. [read post]
