Search for: "Efficient Advisors, LLC" Results 1 - 20 of 173
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30 Jun 2016, 1:34 pm by Daily Record Staff
Rosen, Sapperstein & Friedlander LLC, a business consulting and accounting firm, announced it has hired Sarah Clarke, MBA as senior health care consultant for its healthcare division, RS&F Healthcare Advisors. [read post]
16 Dec 2019, 1:57 am by Peter Mahler
For these LLCs, optimal efficiencies and allocation of capital can be achieved via negotiated operating agreements without need of mandatory statutory rules and judicial intervention on the side of equity. [read post]
26 Feb 2019, 8:37 am by zamansky
The so called “Yield Enhancement Strategy,” or YES was pitched by UBS financial advisors to their customers as a supposedly safe and efficient mechanism to enhance yield from a generally conservative portfolio. [read post]
24 Sep 2018, 7:55 am by Senior Editor
    Jacob Lazarovic MD, Medical Advisor at Amaxx LLC, has considerable experience in managed care, including 18 years as chief medical officer at Broadspire, a leading TPA. [read post]
21 Mar 2019, 9:18 am by zamansky
They sold it as a supposedly safe and efficient mechanism to enhance yield from generally conservative portfolios. [read post]
15 Jul 2019, 4:10 am by Peter Mahler
The statutes establish default rules that, with few mandatory exceptions, can be modified or even eliminated by the members in their operating agreement so as to order their internal affairs as they see fit to optimize management, operating, and economic efficiencies. [read post]
18 Jun 2014, 7:08 am by Adam Weinstein
Recently, a Financial Industry Regulatory Authority (FINRA) arbitration panel rendered a decision concerning Wells Fargo Advisors, LLC’s (Wells Fargo) claims against its former broker Steven Grundstedt (Grundstedt) for breach of three promissory notes. [read post]
18 Dec 2019, 8:42 am by Lindsay Griffiths
The ILN is proud to announce our latest firm of the month, McDonald Hopkins LLC, Ohio! [read post]
21 Dec 2017, 5:51 am by Renae Lloyd
American Finance Trust, Inc. is a real estate investment trust launched and managed by American Financial Advisors, LLC. [read post]
19 Mar 2020, 10:35 am by Chris Wesner
The Debtors also filed the declaration of Amy Lee (the “Lee Declaration”) (Doc. 5), a senior director at Alvarez & Marsal North America, LLC (“Alvarez”), the financial advisor to the Debtors. [read post]
26 May 2016, 7:10 am by Steve Parker
Earlier this month, the Securities and Exchange Commission (“SEC”) instituted an administrative proceeding against Blue Ocean Portfolios, LLC (“Blue Ocean”), an SEC-registered investment advisor with approximately $106 million in regulatory assets under management, and its Principal, CEO and Chief Compliance Officer, James A. [read post]
3 May 2020, 12:33 pm by Staff Attorney
Private placements allow many small companies to efficiently raise capital. [read post]
1 Mar 2010, 3:00 am by Peter A. Mahler
In 2002, around the same time the company transitioned to employee ownership, Homer and his estate planning advisors formed Gutchess Companies, LLC to hold Homer's shares in the operating company.  [read post]
16 Feb 2016, 11:47 am
Most are comfortable with this decision as FINRA already handles about 80% of brokerage exams each year.Karen Barr, the head of the Investment Adviser Association, supported the decision, saying “This is a better, more efficient use of SEC resources to provide effective oversight of the investment advisor industry. [read post]
10 Jan 2017, 6:32 am
The securities lawyers at Eccleston Law also practice a variety of other areas of securities for financial advisors including Employment Matters, Transition Contract Review, State Licensing and Registration, FINRA Defense, and much more. [read post]
4 Apr 2019, 4:52 am by Matthew L.M. Fletcher
Supreme Court Bulletin Petitions for certiorari were filed in these cases: Buchwald Capital Advisors LLC v. [read post]
23 Dec 2014, 5:26 pm by Dana
See Should I set up a subdivision or have a LLC or corporation own another LLC? [read post]