Search for: "Diversified Financial Services, LLC"
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10 Feb 2016, 6:10 pm
According to Investment News, Next Financial Group was fined $125,000 and ordered to pay restitution of $216,000; Key Investment Services was fined $100,000 and ordered to pay restitution of $100,000; and Stephens Inc was fined $235,000 and ordered to pay restitution of $459,000. [read post]
10 Jul 2008, 8:58 pm
Essentially, the company began to see itself as a financial, not food service, company, making money selling franchises instead of focusing on growing steadily and producing high quality meals. [read post]
17 Feb 2020, 7:29 am
The securities lawyers of Gana Weinstein LLP recently filed a complaint on behalf of multiple clients alleging that Concorde Investment Services, LLC (Concorde Investment) representative Daniel Raupp (Raupp) sold them fraudulent securities linked to GPB Capital causing at least $500,000 in losses. [read post]
30 Jul 2011, 2:31 am
The Fund is a diversified, closed-end management investment company that seeks to provide a high level of current income. [read post]
30 Oct 2023, 1:15 pm
According to the SEC’s order, in many of BIT’s annual and semi-annual reports that were publicly available to investors and filed with the SEC, BlackRock inaccurately described Aviron as a “Diversified Financial Services” company. [read post]
25 Oct 2023, 12:36 pm
According to the SEC’s order, in many of BIT’s annual and semi-annual reports that were publicly available to investors and filed with the SEC, BlackRock inaccurately described Aviron as a “Diversified Financial Services” company. [read post]
15 Jun 2011, 9:53 pm
Wells Fargo amp; Company (NYSE: WFC) is a nationwide, diversified, community-based financial services company with $1.3 trillion in assets. [read post]
17 Nov 2022, 4:51 am
About Keno Kozie Keno Kozie Services LLC (www.kenokozie.com) has been providing information technology design, service and support to leading law firms and legal departments since 1988. [read post]
4 Jan 2022, 5:00 pm
From the folks at Global SWF LLC, a new report that is worth reading--The 2022 Annual Report: State Owned Investors 3.0. [read post]
24 Dec 2020, 3:00 pm
Your Investment Advisor Failed to Adequately Diversify Your Portfolio Part of providing suitable investment advice involves ensuring that investors’ portfolios are adequately diversified. [read post]
9 Aug 2019, 6:16 am
Posted by the Harvard Law School Forum on Corporate Governance & Financial Regulation, on Friday, August 9, 2019 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of August 2–8, 2019. [read post]
24 Apr 2009, 6:45 am
Gradante and ordered them to pay, jointly and severally, over $800,000 for violating Section 206(2) of the Investment Advisors Act of 1940 (the "Act") and their fiduciary duties owed to clients who relied on their services and recommendations in investing in a group of fraudulent hedge fund known as Bayou Superfund, LLC; Bayou Accredited Fund, LLC; Bayou Affiliates Fund, LLC; and Bayou No Leverage Fund, LLC; all successors to Bayou Fund… [read post]
22 Jun 2011, 6:07 pm
Prospect, IL 60056-5788 AMERICAN SERVICE FINANCE CORPORATION DBA MERCHANTS INTERSTATE COLLECTION AGENCY 640 PLAZA DR STE 310 HIGHLANDS RANCH, CO 80129 AMERIQUEST RECOVERY SERVICES LLC 1845 HIGHWAY 93 SOUTH STE 310 KALISPELL, MT 59901 AMSHER COLLECTION SERVICES INC 600 BEACON PKY STE 300 BIRMINGHAM, AL 35209 APEX FINANCIAL MANAGEMENT LLC 1120 LAKE COOK RD BUFFALO GROVE, IL 60089 APOLLO CREDIT AGENCY INC DBA WESTERN… [read post]
22 Jun 2011, 6:07 pm
Prospect, IL 60056-5788 AMERICAN SERVICE FINANCE CORPORATION DBA MERCHANTS INTERSTATE COLLECTION AGENCY 640 PLAZA DR STE 310 HIGHLANDS RANCH, CO 80129 AMERIQUEST RECOVERY SERVICES LLC 1845 HIGHWAY 93 SOUTH STE 310 KALISPELL, MT 59901 AMSHER COLLECTION SERVICES INC 600 BEACON PKY STE 300 BIRMINGHAM, AL 35209 APEX FINANCIAL MANAGEMENT LLC 1120 LAKE COOK RD BUFFALO GROVE, IL 60089 APOLLO CREDIT AGENCY INC DBA WESTERN… [read post]
21 Feb 2008, 4:27 am
And it's axiomatic that if there is a need for specialized financial services, there will be service providers available to meet investors' needs. [read post]
11 Aug 2010, 4:50 pm
Today's applications cover the following proposed professionals: Cooley LLP as lead legal counsel Loughlin Meghji + Company as financial advisor Eckert Seamans Cherin & Mellott, LLC as legal counsel About netDockets: With over 1.8 million documents filed in over 1,000 of the largest corporate chapter 11 bankruptcy cases, all professionally-coded to be quickly and easily searchable, netDockets allows you to find not just more precedent, but the best, most… [read post]
18 Oct 2023, 7:43 am
Thayer operated a tax preparation service and allegedly opened an account in a client’s name where he obtained full account control. [read post]
27 Jan 2020, 2:01 am
Way is the Owner, President, and CEO of Edcor Data Services LLC. [read post]
13 May 2011, 2:20 pm
Sinking most of your wealth into a house does not allow you to diversify. [read post]
8 Jan 2009, 5:47 am
• Diversify. [read post]
