Search for: "Horizon Investment Group, Inc."
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24 Aug 2021, 12:14 pm
Wood is the president and majority owner of Southport, which is registered with the SEC as Livingston Group Asset Management Company, Inc. [read post]
7 Feb 2018, 11:17 am
Silver Law Group is investigating claims against Garden State Securities, Inc. [read post]
27 Dec 2021, 6:50 am
Inc. in Atlanta, and Livingston Group Asset Management d/b/a Southport Capital. [read post]
11 May 2010, 10:34 pm
The Navigators Group, Inc. [read post]
28 Sep 2023, 12:22 pm
For example, if a customer has a low-risk tolerance and short-term investment horizon, recommending a highly illiquid and high-risk alternative investment like a non-traded REIT may not be suitable. [read post]
4 Apr 2011, 9:02 am
$75,000 Resource Horizons Group LLC $66,000 Basic Investors Inc. [read post]
27 Dec 2023, 6:09 pm
The programs included the following investments, Strategic Storage Trust Inc.; Griffin-American Healthcare REIT III Inc.; FS KKR Capital Corporation III; American Realty Capital Trust V Inc.; American Realty Capital Healthcare II Inc.; Walton US Land Fund 3 LP; NorthStar Healthcare Income; CION Investment Corp; and Griffin Capital Essential Asset REIT II. [read post]
31 Jul 2007, 7:25 am
MGIC is also in the process of acquiring Radian Group Inc., which also has an investment of $518 million in C-BASS. [read post]
17 Aug 2022, 6:30 am
The same week the proposed rules were released, the SEC announced that BNY Mellon Investment Adviser, Inc. agreed to pay a $1.5 million fine to the SEC to settle allegations that the firm made misleading claims about ESG funds it managed. [read post]
17 Aug 2022, 6:30 am
The same week the proposed rules were released, the SEC announced that BNY Mellon Investment Adviser, Inc. agreed to pay a $1.5 million fine to the SEC to settle allegations that the firm made misleading claims about ESG funds it managed. [read post]
26 Mar 2014, 6:13 am
In 1991, Gist solicited the claimant to continue to invest with him at his new firm, Gist, Kennedy & Associates, Inc, (Gist, Kennedy) which also operated as a law firm. [read post]
8 Nov 2023, 10:14 pm
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
13 Feb 2023, 5:59 am
[i] The P3 Health Group litigation was commenced by a minority owner of P3 Health Group Holdings, LLC (“P3”), Hudson Vegas Investments, LLC (“Hudson”), which challenged P3’s de-SPAC merger. [read post]
9 Jun 2008, 4:40 pm
Annuities are not for everyone, especially an elderly person with a short investment time horizon. [read post]
17 Feb 2017, 9:19 am
They must ensure that all recommendations that are made are suitable in light of that client’s age, investment experience, net worth, investment objectives, and time horizon. [read post]
17 Dec 2014, 8:10 am
Purshe Kaplan Sterling Investments Resource Horizons Group LLC Royal Alliance Associates, Inc. [read post]
16 Dec 2010, 8:46 am
$75,000 Resource Horizons Group LLC $66,000 Basic Investors Inc. [read post]
1 Feb 2021, 2:02 pm
Silver Law Group represents investors in securities and investment fraud cases. [read post]
26 Jan 2024, 1:40 pm
Voya operates under the following names: ING FINANCIAL PARTNERS, INC, WASHINGTON SQUARE SECURITIES, INC., VOYA FINANCIAL ADVISORS, INC., VARIABLE LIFE BROKERAGE DISTRIBUTORS, NWNL MANAGEMENT CORPORATION, ING FINANCIAL PARTNERS, INC., according to its CRD. [read post]
1 Sep 2013, 6:54 am
The Morton’s decision will provide comfort to PE sponsors who hold minority positions in public companies, as it acknowledges the economic reality that even with a finite investment horizon, PE sponsors are incentivized to maximize an exit price and, as a result, bestow a control premium on all stockholders. [read post]
