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8 Oct 2019, 8:53 am
The SEC’s announcement and administrative order resolves enforcement proceedings against BMO Harris Financial Advisors, Inc. [read post]
29 Jun 2018, 3:13 pm
Under the terms of the settlement, Glick and his related entities Financial Management Strategies Inc. and Glick Accounting Services Inc. will face, “permanent injunctive relief, repatriation of assets, and orders to pay disgorgement and civil penalties in amounts to be determined by the Court. [read post]
8 Jul 2009, 2:39 pm
Following a comprehensive two-month application evaluation and selection process, during which over 100 unique applications to participate in Legacy Securities PPIP were received, Treasury has pre-qualified the following firms (in alphabetical order) to participate as fund managers in the initial round of the program: AllianceBernstein, LP and its sub-advisors Greenfield Partners, LLC and Rialto Capital Management, LLC; Angelo, Gordon & Co., L.P. and… [read post]
4 Jun 2018, 6:00 am
The SEC’s orders are against: Bachrach Asset Management Inc. [read post]
16 Jul 2021, 8:52 am
Medley Management Inc. is the parent company of Medley LLC and several registered investment advisors, according to its website. [read post]
6 Oct 2021, 2:03 am
The post An Asset Not a Threat: Talent Technology’s Importance in Recruiting Today appeared first on HR Daily Advisor. [read post]
17 Jun 2011, 1:08 am
In Janus Capital Group, Inc. and Janus Capital Management LLC v. [read post]
9 Jul 2015, 11:27 am
The mutual fund distributor Virtus Investment Partners Inc. also cut F-Squared as a manager on five of its products with some $5.7 billion in assets, including Virtus Premium Alpha Sector.F-Squared, its mutual-fund distribution partner and financial advisors who recommended the investment are under the microscope. [read post]
2 Mar 2022, 7:26 am
In May 2020, the company announced that its Board of Directors terminated its previously announced mergers with Medley Capital Corporation (“MCC”) and Medley Management Inc. [read post]
3 Aug 2020, 6:37 am
Advisor Christopher Shaw (Shaw), currently employed by Pruco Securities LLC (Pruco) and formerly employed by Kalos Capital, Inc. [read post]
27 May 2022, 12:43 pm
In April 2022, the alternative asset firm filed for Chapter 11 bankruptcy protection. [read post]
5 Aug 2019, 10:38 am
GPB Private Placements FundsGBP Capital Holdings is an alternative asset manager that invests in waste management and car dealerships. [read post]
22 Jun 2023, 7:35 am
The group serves 11,000 independent brokers through the following firms, managing $500 billion in client assets: FSC Securities Corporation, SagePoint Financial, Inc. [read post]
17 Dec 2018, 1:18 pm
The US government contends that Drake told the couple that he was charging them less than most clients to manage their assets. [read post]
10 Dec 2018, 7:17 am
A Florida-based wealth management firm is once again in the headlines over its hiring of brokers with “checkered” pasts. [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]
21 Oct 2021, 11:59 am
Murray, a Senior Vice President at UBS, led a team of advisors known as the North Coast Wealth Management Group. [read post]
5 Feb 2024, 2:05 pm
(CRD#:32460), also of Mooresville, and Allegiant Asset Management, L.L.C. [read post]
22 Jan 2019, 6:21 am
Many asset owners and asset managers use the services of proxy advisors, who make voting recommendations. [read post]
10 Sep 2020, 7:15 am
Jeffrey Cohen (CRD: #2528929) is a registered broker and investment advisor currently employed by Moloney Securities Asset Management LLC (CRD#:282448) of Henderson, NV. [read post]
