Search for: "International Assets Advisory, LLC"
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7 May 2024, 7:35 am
Advisor Group was originally owned by insurer American International Group, Inc, which sold it to Lightyear Capital in 2016. [read post]
1 May 2024, 10:16 pm
LPL Financial Holdings Inc. serves nearly 23,000 financial advisers and manages over $1.44 trillion in advisory and brokerage assets as of March 31, 2024. [read post]
29 Jan 2024, 12:00 pm
The SEC was seeking injunctive relief, an asset freeze, an accounting, disgorgement, and civil penalties. [read post]
17 Dec 2023, 9:03 pm
Although the petition suggests that intermediaries are not required to conduct transactions in crypto asset securities, in fact, the Petitioner itself is an intermediary in the crypto asset markets—an intermediary that facilitates transactions on its own internal ledgers rather than using blockchain technology.[7] These regulatory requirements protect investors from manipulation, fraud, and other abuses—all of which have been experienced in the intermediation… [read post]
13 Dec 2023, 3:42 pm
One can also fairly conclude that the foreign businesses who dealt with Hunter and James did so, at least in part, in the hope of enhancing their own international credibility by associating with a family member of the U.S. [read post]
5 Dec 2023, 9:05 pm
., LLC v. [read post]
29 Nov 2023, 9:01 pm
Digital Assets Following the growth of the SEC’s Crypto Assets and Cyber Unit last year, FY 2023 was a busy year for the Commission in the digital asset space. [read post]
2 Nov 2023, 6:36 am
William Conn (William Joseph Conn CRD# 1477107, aka “Bill Conn”) is a currently registered broker and investment advisor with International Assets Advisory, LLC (CRD#: 10645) of San Francisco, CA. [read post]
30 Oct 2023, 11:26 am
Additionally any client with art assets and legal fees could be at risk for the other parties to stake claim in their asset or fuel dispute on whether the client’s artwork should be sold to address not only attorney’s fees, but other legal fees, and case-related debts. [read post]
26 Oct 2023, 12:50 pm
She has one disclosure on her record, a termination from Wealth Enhancement stating “The reported individual was terminated during an internal review for fraud, wrongful/unauthorized taking of client property, and for violations of investment-related securities law (including those related to custody of client assets), firm policies and expected industry and professional standards, including failure to cooperate with the firm’s internal review. [read post]
3 Oct 2023, 9:01 pm
The SEC also alleged that the disclosure failures were caused by inadequate internal accounting controls, including an insufficient understanding of GAAP. [read post]
27 Aug 2023, 7:49 pm
The firm reportedly has $3 billion in assets under management. [read post]
31 Jul 2023, 6:49 am
The agencies’ March 2 note announced that they planned to issue joint advisories on an ongoing basis. [read post]
6 Jul 2023, 11:20 am
Harneys is a leading international offshore law firm that acts for both issuers of digital assets and investment funds that invest in them. [read post]
27 Jun 2023, 9:01 pm
Already, some asset managers have expressed concern that the influx of shareholder proposals are not resulting in a corresponding increase in enterprise value.[28] Instead, these asset managers noted the proposals’ high level of prescriptiveness, lack of connection to material risks or long-term value, and decreased overall quality.[29] Thus, it is not surprising that the average percentage of votes cast “for” proposals declined from 36% in 2021 to 24% in… [read post]
20 Apr 2023, 1:20 pm
The SEC’s New Proposed Rule Regarding Safeguarding Advisory Client Assets. [read post]
2 Apr 2023, 6:00 am
Year - Q123 Presentation Slides: Market Kinetics – Investing – Q1 2023 (PDF) – Mouseover to Scroll 0 - Investments - 040223 - Update M&A+I Events (Running Listing: November 2001 – Today) Index: eDiscovery Mergers, Acquisitions, and Investments Event DateAcquired (Investee)Acquirer (Investor)Amount (Estimated $) 20-March-2023Teris, Elijah, Meta-e, and ModusRepario (JLL Partners)Strategic Partnership Between Repario Leadership Team and JLL Partners… [read post]
30 Mar 2023, 6:52 am
SEC Rule 206(4)-1 (Advisory Contracts) requires investment advisers to disclose any conflicts of interest and obtain written consent from clients before engaging in certain transactions. [read post]
23 Feb 2023, 9:01 pm
Our Assistant Attorney General, Kenneth Polite, created a National Cryptocurrency Enforcement Team (NCET) within the Criminal Division to serve as the focal point for the department’s efforts to tackle the growth of crime involving digital assets and related emerging technologies. [read post]
13 Feb 2023, 5:59 am
[v] The court also considered Delaware’s strong interest in providing a forum for disputes regarding the internal affairs of LLCs formed under its laws. [read post]
