Search for: "PROFESSIONAL PLACEMENT SERVICES, LLC"
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28 Mar 2022, 1:37 pm
This article was co-authored by Matthew Schweiger, AVP Claims, D&O Management Professional Liability, Core Specialty, Jerry Grenon, AVP, Management and Professional Liability, Core Specialty, Elan Kandel, Member, Bailey Cavalieri LLC and James Young, Of Counsel, Bailey Cavalieri LLC. [read post]
17 May 2023, 11:30 am
The White Law Group reviews the regulatory history of MML Investors Services LLC. [read post]
17 Feb 2021, 12:58 pm
Tavel was also providing investment advice through Charter Advisory Corporation, an SEC-registered Investment Adviser, as well as providing tax services and insurance products through Tavel Insurance & Financial Services, LLC. [read post]
5 Jul 2023, 12:52 pm
The firm is a full-service broker dealer with close to 565 registered representatives who operate from 69 branch offices. [read post]
30 Jan 2011, 5:51 am
The SEC alleges that the attorney, in the course of an SEC examination of his client NewPoint Securities LLC in April and May 2009 — altered private placement memoranda (PPMs) purportedly used in the offer and sale of securities issued by NewPoint Financial Services. [read post]
30 Jan 2011, 9:45 am
The SEC alleges that the attorney, in the course of an SEC examination of his client NewPoint Securities LLC in April and May 2009 — altered private placement memoranda (PPMs) purportedly used in the offer and sale of securities issued by NewPoint Financial Services. [read post]
28 Jan 2011, 3:28 pm
The SEC alleges that the attorney, in the course of an SEC examination of his client NewPoint Securities LLC in April and May 2009 — altered private placement memoranda (PPMs) purportedly used in the offer and sale of securities issued by NewPoint Financial Services. [read post]
16 Feb 2016, 4:50 pm
First in a private placement and later in a public offering, CCC shares were sold to investors. [read post]
29 Sep 2021, 10:40 am
These broker-dealers become responsible for ensuring that the offering complies with SEC rules, including how it is marketed and to whom it is sold, and the firms are typically paid 7-10% commission for this service. [read post]
31 Jul 2023, 9:16 am
According to reports this week, FINRA, the regulator who oversees brokerage firms and brokers, has censured and fined Concorde Investment Services in connection with private placement sales. [read post]
2 Dec 2011, 1:27 pm
The firm has represented and currently represents many investors who have suffered damages as a result of the recommendation of their financial professional to purchase private placement investments from companies like DBSI, Medical Capital, and Shale (Provident) Royalties. [read post]
19 May 2014, 10:29 pm
” The words “Professional Services Claim” and “Professional Services” are boldfaced in this exclusion. [read post]
Recovery Options For Investors in National Realty Investment Advisors as Chapter 11 Case Is Pending.
9 Jun 2022, 9:31 am
The court filings indicate that NRIA raised money from investors through dozens of private placement investments over several years through dozens of subsidiary-LLCs. [read post]
10 Mar 2020, 6:30 am
Author Michael Stack, CEO Amaxx LLC. [read post]
23 Nov 2022, 6:50 am
Bogdan, LLC, we are experienced in all kinds of professional license defense and are equipped to help you defend your reputation and freedom to practice your profession. [read post]
19 Jan 2010, 3:56 am
4structures.com, LLC is in the structured settlement, settlement planning and litigation recovery managment space providing financial consulting services and settlement solutions in conjunction with the settlement and resolution of all types of claims and litigation. [read post]
2 Dec 2010, 6:45 pm
Senior Life Care Planning staff have experience with senior issues, Alzheimer's and other dementias, nursing home placement, home care coordination, asset protection, medical and other professional referrals, and other financial and legal concerns. [read post]
13 Apr 2023, 1:32 pm
The firm was formerly known as Sterne Agee Financial Services. [read post]
8 Dec 2011, 6:19 am
At Morgan Stanley, she was an integral part of a leading Institutional Investor ranking research team and was an important contributor to a $2 billion Brazilian bank equity placement--one of the largest such transactions at the time.ISS' Securities Class Action Services business employs 18 full-time case research and operations professionals and files almost a half-million claims each year on behalf of its clients. [read post]
8 Dec 2011, 7:57 am
At Morgan Stanley, she was an integral part of a leading Institutional Investor ranking research team and was an important contributor to a $2 billion Brazilian bank equity placement--one of the largest such transactions at the time.ISS' Securities Class Action Services business employs 18 full-time case research and operations professionals and files almost a half-million claims each year on behalf of its clients. [read post]
