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12 Apr 2016, 3:50 pm
Concurrent with its adoption of final regulations implementing these new rules concerning investment advisors and their fiduciary responsibilities, the Rule also adopts certain new Prohibited Transaction Exemptions that define requirements that providers of covered investment advice and the plan fiduciaries that engage them generally will be required after April 7, 2017 to ensure are met for investment advisors to receive commission-based compensation for their services, to sell or… [read post]
12 Apr 2016, 3:50 pm
Concurrent with its adoption of final regulations implementing these new rules concerning investment advisors and their fiduciary responsibilities, the Rule also adopts certain new Prohibited Transaction Exemptions that define requirements that providers of covered investment advice and the plan fiduciaries that engage them generally will be required after April 7, 2017 to ensure are met for investment advisors to receive commission-based compensation for their services, to sell or… [read post]
6 Aug 2019, 8:52 am
According to FINRA Disciplinary actions for July 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Bender, Charles III Suntrust Investment Services, Inc JP Morgan Securities LLC Bingham, Daniel Essex Securities LLC Investors Capital … [read post]
9 Oct 2015, 6:29 am
From 2006, until October 2009, Bennett was associated with Royal Alliance Associates, Inc. [read post]
21 Nov 2023, 2:26 pm
His last listed employer is Supreme Alliance, LLC, (CRD# 45348) of Charlotte, NC, and he was registered there until 1/6/2022. [read post]
5 Mar 2019, 9:56 am
Among the broker-dealers that sold these investments were Advisor Group firms Sagepoint Financial Inc, Royal Alliance Associates, Inc., Woodbury Financial Services, Inc., and FSC Securities Corp. [read post]
31 Dec 2010, 8:41 pm
Ronald Arthur Knight, with Royal Alliance Associates, Inc. in Chino, CA, was barred from association with any FINRA member in any capacity in connection with the sale of interests in Universal Life Policies (ULPs) to members of the public, failing to provide his member firm with prior written notice about the sales, receiving approximately $30,270 in commissions from the sales. [read post]
25 Apr 2014, 6:30 am
Investors often rely on professional advisors like LPL Financial, which help them to diversify their portfolio while minimizing risk. [read post]
10 Jun 2019, 6:57 am
From June 2013 until October 2014 Viglione was registered with Portfolio Advisors Alliance, Inc. [read post]
2 Jul 2019, 7:42 am
According to our investigation Royal Alliance Associates, Inc. [read post]
31 Jul 2007, 8:52 pm
., broker affiliated with Royal Alliance Associates Inc. [read post]
19 Nov 2018, 4:01 am
Dozens of broker-dealers from around the country have sold GPB funds, including several Advisor Group broker-dealers: FSC Securities, SagePoint Financial Services, Woodbury Financial Services Inc., and Royal Alliance Associates. [read post]
3 Dec 2012, 7:00 am
Now, according to Studley, Inc., the average is down to 225 square feet.Partner Compensation. [read post]
27 Nov 2012, 2:00 am
International Mergers and Alliances. [read post]
28 Jan 2023, 7:32 am
Pix Credit hereESG, has been driven by the private sector and intensely debated in the context of privately ordered responsible business conduct standards, and formed part of a rich debates among market actors and public international organizations about the role and nature of so-called non-financial siclosure in genmeral, and sustainability and climate related factors in decision making. [read post]
21 Sep 2020, 11:49 am
The subcommittee will hear testimony from Chris Krebs, the director of the Cybersecurity and Infrastructure Security Agency; Denis Goulet, the commissioner of the New Hampshire Department of Information Technology; Leslie Torres-Rodriguez, the superintendent of Hartford, Connecticut, public schools; John Riggi, a senior advisor for cybersecurity and risk at the American Hospital Association; and Bill Siegel, the CEO of Coveware, Inc. [read post]
23 Aug 2008, 1:23 am
You can separately subscribe to the IP Thinktank Global week in Review at the Subscribe page: [duncanbucknell.com] Highlights this week included: DRM for streaming music dies a quiet death: (Electronic Frontier Foundation), (Techdirt) CAFC decides Apotex and Impax infringed AstraZeneca’s Prilosec patents: (Law360), (Patent Prospector), (Patent Docs), (GenericsWeb), CAFC upholds lower court’s decision finding USPTO was within its rights to subject a Cooper patent to… [read post]
26 Feb 2007, 3:36 pm
Full Text of TXU Press Release On Firm Being Taken Private February 26, 2007 9:38 a.m. [read post]
20 Sep 2021, 11:44 am
The NSA GC is an integral part of the Director of the National Security Agency's senior leadership team and a key advisor to NSA leadership at all levels. [read post]
3 May 2021, 2:12 pm
John Davis, vice president of Palo Alto Networks; Megan Stifel, Americas executive director for the Global Cyber Alliance; Denis Goulet, commissioner of the New Hampshire Department of Information Technology; and Chris Krebs, former Director of the Cybersecurity and Infrastructure Security Agency. [read post]
