Search for: "Advisors Asset Management, Inc"
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8 May 2024, 7:20 pm
The Securities and Exchange Commission (SEC) charged Woods and his firm, Livingston Group Asset Management Company, for securities fraud in August 2021, uncovering a $110 million Ponzi scheme. [read post]
8 May 2024, 2:26 pm
Fiduciaries and their advisors who fail to implement the SECURE Act provisions risk being targeted by government actors and private litigants. [read post]
7 May 2024, 7:35 am
The group serves 11,000 independent brokers through the following firms, managing $500 billion in client assets. [read post]
1 May 2024, 10:16 pm
LPL Financial Holdings Inc. serves nearly 23,000 financial advisers and manages over $1.44 trillion in advisory and brokerage assets as of March 31, 2024. [read post]
18 Apr 2024, 2:05 pm
The Trade Desk, Inc., No. [read post]
18 Apr 2024, 7:37 am
Collectively, the 5 investment advisers, GeaSphere LLC; Bradesco Global Advisors Inc.; Credicorp Capital Advisors LLC; InSight Securities Inc., and Monex Asset Management Inc., were censured, ordered to cease and desist from further violations of the Investment Advisers Act of 1940, and pay civil penalties ranging from $20,000 to $100,000. [read post]
12 Apr 2024, 8:15 am
Monex Asset Management Inc. [read post]
26 Mar 2024, 5:59 am
Brookfield Asset Management Inc., March 25, 2024, Valihura, K.).In 2020, a subsidiary of Brookfield Asset Management proposed to acquire the remaining outstanding shares of TerraForm Power, Inc. [read post]
18 Mar 2024, 5:23 pm
The Bankruptcy of a Corporation – The Case of Lehman Brothers Lehman Brothers, once the fourth-largest U.S. investment bank, filed for Chapter 11 bankruptcy on September 15, 2008.[1] At the time, the company reported $639 billion in assets.[2] A later reorganization plan estimated that about $50 billion in assets could be recovered.[3] Among these assets, a significant amount of corporate-owned artwork was among the assets pending auction. [read post]
17 Mar 2024, 7:14 pm
The firm reportedly has $148 billion in assets under management and 2,992 advisors. [read post]
17 Mar 2024, 5:42 pm
As part of these efforts, OCR and other cybersecurity agencies have recommended among other things that covered entities and business associates: Routinely take inventory of assets and data to identify authorized and unauthorized devices and software; Prioritize remediation of known exploited vulnerabilities’ Enable and enforce multifactor authentication with strong passwords; Close unused ports and remove applications not deemed necessary for day-to-day operations.… [read post]
1 Mar 2024, 6:30 am
Dubofsky, Latham & Watkins LLP, on Thursday, February 29, 2024 Tags: Activism, ESG, Proxy advisors, Shareholder activism BlackRock Updated 2024 U.S. [read post]
1 Mar 2024, 6:30 am
Dubofsky, Latham & Watkins LLP, on Thursday, February 29, 2024 Tags: Activism, ESG, Proxy advisors, Shareholder activism BlackRock Updated 2024 U.S. [read post]
5 Feb 2024, 2:05 pm
(CRD#:32460), also of Mooresville, and Allegiant Asset Management, L.L.C. [read post]
25 Jan 2024, 6:06 pm
Sculptor Capital Management: Sculptor Diversified Real Estate Income Trust Investment Focus: Stabilized, income-generating commercial real estate across various asset types. [read post]
23 Jan 2024, 9:01 pm
The SEC had charged AllianzGI with abandoning its investment and risk management strategies in the management of the Structural mutual funds. [read post]
5 Jan 2024, 3:05 am
Her company has been recognized in the Inc. 5000. [read post]
1 Jan 2024, 2:29 pm
The MLC, Inc. [read post]
18 Dec 2023, 2:48 pm
The Chief Compliance Officer (“CCO”) of a registered investment advisor (“RIA”) must conduct a review of the adviser’s compliance policies and procedures annually. [read post]
13 Dec 2023, 11:00 pm
Lightstone Value Plus REIT II, Inc. [read post]
