Search for: "Robert Rias"
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15 Apr 2011, 1:03 pm
According to a recent letter addressed to the North American Securities Administrators Association (NASAA) from Robert Plaze, associate director for regulation of the SEC's division of investment management, a switch in regulators for advisers who manage between $25 million and $100 million in assets that was supposed to start occurring this summer may now be extended to the first quarter of 2012. [read post]
1 Dec 2011, 5:27 am
The Director of the Enforcement Division of the Securities and Exchange Commission (SEC), Robert Khuzami, announced last week that the SEC will be targeting investment advisers that are suspected to have filed false or misleading Form ADVs. [read post]
16 Sep 2011, 3:09 pm
Na trama, o jovem Jacob (Robert Pattinson) prestes a se formar em medicina veterinária, perde os pais e vai trabalhar em um circo itinerante que usa animais em suas apresentações. [read post]
17 Dec 2019, 6:41 am
Chartwell Strategies LP is a hedge fund created and sold by Robert C. [read post]
22 Mar 2023, 7:10 pm
The plaintiff contends that the RIA allegedly unsuitably recommended that he invest his savings in annuities from Western Bankers Life Insurance, which is a Bankers Financial Corp. subsidiary, Colorado Bankers Life Insurance, and Upstream Life Insurance Company. [read post]
5 Feb 2024, 4:41 pm
Robert Rias, 15, and Domonic Adams Jr., 14, were pronounced dead at the scene. [read post]
15 Sep 2021, 6:16 am
Schanzenbach and Robert H. [read post]
5 Jun 2019, 11:15 am
The formerly registered investment advisory firm (RIA) is no longer in operation. [read post]
5 Oct 2021, 12:13 pm
On August 20, 2021, the Securities and Exchange Commission filed a complaint against Robert J. [read post]
5 Dec 2013, 7:31 pm
A colisão de direitos fundamentais foi e é matéria amplamente discutida na doutrina. [read post]
5 Dec 2013, 7:31 pm
A colisão de direitos fundamentais foi e é matéria amplamente discutida na doutrina. [read post]
18 May 2018, 12:14 pm
She was also barred from operating as a supervisor for either a broker-dealer of RIA for two years. [read post]
20 Oct 2012, 10:43 am
A Revista SUPER listou 8 frases famosas que nunca foram ditas e a história por trás destes enganos: 1. [read post]
5 Jul 2021, 4:53 am
The American Civil Liberties Union lawyer Ria Tabacco Mar, representing Mr. [read post]
18 Jan 2011, 8:31 pm
Núria Casellas that appeared earlier on VoxPopuLII.] [read post]
12 Jan 2018, 6:00 am
Newville, Robert E. [read post]
17 Mar 2012, 10:42 am
” (Robert C. [read post]
14 Feb 2013, 9:20 am
The 47-page report authored by Robert Esworthy discusses the following:SummaryOn January 15, 2013, the Environmental Protection Agency (EPA) published a final rule revising the National Ambient Air Quality Standard (NAAQS) for particulate matter (PM). [read post]
16 Jul 2022, 11:54 am
Background Robert Ryerson was a registered investment advisor (RIA), providing financial planning and investment services until the National Association of Securities Dealers (NASD) found him guilty of misconduct in 2006 by sharing commissions with non-NASD members and intentionally misleading his employer. [read post]
5 Feb 2024, 5:46 pm
On Monday, police identified the victims as 15-year-old Robert Rias, 15-year-old Omar Pitts, and 14-year-old Domonic Adams Jr. [read post]
