Search for: "Associated Investments"
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27 Jun 2017, 7:07 pm
“The Investment Company Institute (ICI) is a leading global association of regulated funds, including mutual funds, exchange-traded funds (ETFs), closed-end funds, and unit investment trusts (UITs) in the United States and similar funds offered to investors in jurisdictions worldwide. [read post]
25 May 2022, 6:49 am
Chudler & Associates (HCA). [read post]
28 Sep 2023, 7:30 am
The couple, represented by securities arbitration law firm Iorio Altamirano LLP, alleges that David Lerner Associates recommended an unsuitable investment strategy to invest and concentrate a significant portion of their retirement savings and net worth into risky and high-commission energy-sector securities that were proprietary to David Lerner Associates, Inc.: (1) Energy 11, L.P. [read post]
23 Jul 2015, 4:09 pm
WASHINGTON, DC – MARPA is pleased to announce the signing of a Memorandum of Understanding (MOU) between the Korea Trade-Investment Promotion Agency (KOTRA), Korea’s national trade promotion organization, and Modification And Replacement Parts Association (MARPA), the non-profit trade association that represents the Parts Manufacturer Approval (PMA) community. [read post]
14 Sep 2018, 12:45 pm
In New York, attorney malpractice in the area of retirement investment and estate planning has led to professional activism by the New York Bar Association and national affiliation the New York Bar Association, and punitive action by the courts. [read post]
11 Nov 2017, 2:36 pm
Investment Agreement and Investment Authorisation (ISDS applies to these) 9.1 Definitions - suspend “investment agreement” and “investment authorisation” and associated Footnotes (5 - 11) 9.19.1 Submission of Claim to Arbitration - a(i) B and C; (b)(i) B and C (investment authorisation or investment agreement), chausette, footnote 31 9.19.2 Submission of Claim to Arbitration, footnote 32 9.19.3… [read post]
25 Apr 2017, 8:58 am
Investment Losses Have you suffered investment losses in Corporate Property Associates 17 Global Inc.? [read post]
30 Apr 2012, 12:11 pm
On April 25, Representative Bachus introduced legislation to provide for the registration and oversight of national investment adviser associations, the Investment Adviser Oversight Act of 2012. [read post]
20 Jul 2020, 3:50 pm
The International Federation of Library Associations and Institutions (IFLA) has just published a document on Library Return on Investment - Review of Evidence from the Last 10 Years: "Over the last few decades, libraries have been exploring various ways to assess and demonstrate their value and contribution to users and societies at large. [read post]
24 Sep 2021, 10:43 am
This Rule states, in part: “A member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer’s investment profile. [read post]
30 May 2018, 9:20 am
On 25 May 2018, the Investment Association published an updated model discretionary investment management agreement in co-operation with Norton Rose Fulbright LLP. [read post]
23 Mar 2017, 5:03 am
The Investment Association and the Association for Financial Markets in Europe (together, the Associations) have published a new code of conduct for the communication of indications of interest (IOIs). [read post]
4 Dec 2018, 11:32 am
According to the regulator’s complaint, the former Royal Alliance Associates investment adviser forged clients’ signatures and withdrew funds from their investment and variable annuity accounts, collectively making 82 unauthorized withdrawals over six years. [read post]
2 May 2023, 9:01 am
Investors Sue David Lerner Associates Over Spirit of America Energy Fund Losses Our Skilled Oil and Gas Investment Fraud Lawyers Filed Claimants’ Six-Figure FINRA Lawsuit Shepherd Smith Edwards and Kantas (investorlawyers.com) continue to investigate claims of losses involving David Lerner Associates’ Spirit of America Energy Fund (SOAEX). [read post]
7 Aug 2007, 4:52 am
Driven by seed and early-stage investment, venture firms poured $7.1 billion into 977 deals in the second quarter of 2007, according to the MoneyTree report by PricewaterhouseCoopers and the National Venture Capital Association based on data by [...] [read post]
15 Aug 2012, 9:57 pm
Reportedly, the following private placements have been offered and sold: Penneco Drilling Associates 2009-1 Penneco Drilling Associates 2008-1 Penneco Drilling Associates 2006-1 Penneco Drilling Associates 2005-1 Penneco Drilling Associates 2004-1 Penneco Drilling Associates 2003-1 Penneco Drilling Associates 2002-1 Penneco Royalty Income LP III According to investment fraud lawyers, private placements allow smaller companies… [read post]
11 Oct 2023, 8:36 am
USCIS, Oct. 11, 2023 "We are providing additional guidance on our interpretation of changes to the EB-5 program in the Immigration and Nationality Act (INA) made by the EB-5 Reform and Integrity Act of 2022 (RIA) , specifically the required investment timeframe and how we treat investors who are associated with a terminated regional center. [read post]
7 Jan 2008, 8:37 am
The folks at Integrity Research Associates recently published an interesting forecast for the investment research industry. [read post]
6 Aug 2018, 4:55 am
On 3 August 2018, the Investment Association published an updated guide (the Guide) on charity authorised investment funds (CAIF), outlining the methodology of setting up a CIAF. [read post]
15 Feb 2021, 11:03 am
Continue Reading › The post NY Retiree Says David Lerner Associates Broker Mike Norton Sold Her Unsuitable Energy 11 Investment appeared first on Investor Lawyers Blog. [read post]
