HD Vest Investment Securities, Inc. - Securities and ExchangeShare on:
Mar 4, 2015 ... Act”) against H.D. Vest Investment Securities, Inc. d/b/a H.D. Vest ... On the basis of this Order and Respondent's Offer, the Commission finds1 that: ..... services of an Independent Consultant not unacceptable to the Division of.
Federated Global Investment Management Corp. - Securities and
May 27, 2016 ... On the basis of this Order and FGIMC's Offer, the Commission finds1 that: ... outside consultants as part of its securities research and analysis ...
Unauthorized Trading - JurisPro Expert Witness Directory
Aug 15, 2001 ... Invest Securities Consulting P.C.. Westcliffe, Colorado ... Proving Unauthorized Trading and the Mismarking of Order Tickets .............16.
SEC Charges Adviser for Failing to Monitor Consultants - Latham
Jul 5, 2016 ... As detailed below, the FGIMC Order highlights the SEC's continued focus ... investment management personnel opinions regarding securities ...
View Summary and Order - Division of Consumer Affairs
Desist Order against James R. Trolice d/b/a Trolice Consulting and Trolice Consulting .... and sale of the TCS Securities by framing the investment as a one- time ...
STATE OF NEW JERSEY BUREAU OF SECURITIES P.O. Box
Apr 1, 2015 ... Business Consultants, d/b/a Access Capital ... cause and it is in the public interest to enter this Summary Order, and makes the following ... and/or investment contracts (“Access Securities”) issued by the Access Capital Entities ...
Investment Securities - Office of the Comptroller of the Currency
Investment securities, representing obligations purchased for the bank's own account, may ..... symbols are indicated in the order of their credit quality. Standard & .... because of a portfolio advisor or consultant's ability: to act quickly on buy or.
How to Prevent and Resolve Disputes with Your Broker - finra
investors who have disputes with their securities brokers and brokerage firms. PIRC aims to ... What are Orders of Production or Appearance from Members? . . . . . 20 .... investments may not earn enough over time to keep pace with the increasing cost of ..... consulting a law school clinic, such as the one at Pace. Law School ...
Pace Law School Investor Guide.pdf
The Self-Regulatory Code (hereinafter, the “Code”) of the Securities
SECURITIES INVESTMENT TRUST & CONSULTING ASSOCIATION OF THE R.O.C.. Page 1 of ... Association's Committee Organizational Rules in order to help.
The Self-Regulatory Code of SITCA.pdf
order - SEBI
Jun 16, 2016 ... Beejay Investment & Financial Consultants Private ... Securities and Exchange Board of India (“SEBI”), vide Interim Order dated June 04,.
securities trading and investment policy - Stewart.com
in order to avoid situations that might be detrimental to the Company. Anyone seeking ... B. Consultants and Temporary Employees; Family Members ... Investments and trades in Company Securities are prohibited for a period starting two.
Securities and Trading Investment Policy v6.pdf
Algorithmic Trading Global: UBS Float
Nov 16, 2015 ... or by the UBS Price if it reaches your child order's .... by UBS Securities Canada Inc., a registered investment dealer in Canada and a ... (vi) securities portfolio managers and securities consultants duly authorized by Comissão.
AP-15-16 - Missouri Secretary of State
The Enforcement Section of the Missouri Securities Division of the Office of Secretary ... orders in the settlement of any proceeding in the public interest ... Weishaar was an investment adviser representative with SPC from March 2004 through .... If the Consultant becomes unable to perform its duties, Respondent shall.
Investment Management Regulatory Update - Davis Polk
Jun 27, 2016 ... Director of Enforcement Division Speaks at Securities Enforcement Forum ... FGIMC Settles Charges Relating to Failure to Oversee Consulting ... On June 14, 2016, the SEC issued an order (the “Order”) approving the ...
Securities Division - Secretary of State - Mississippi
Diaz Retirement Consultants, as an Investment Adviser, and for himseif as an ... order against the registrant in connection with investment-related activity. ll.
Weekly Report Ending November 12, 2015 - Florida Office of
Three-Year Bar and $1,000 Fine Against an Investment Adviser Firm and an ... On November 4, 2015, the Division of Securities entered a final order against ... Scurry Capital Consulting, LLC, and Stephen Andrew Comeau permanently.
Disciplinary Order - Texas State Securities Board - Texas.gov
consented to the entry of this order (“Order”) and the Findings of Fact and ... the investigation by the Texas State Securities Board, and is not intended to be used ... Commissioner as an investment adviser representative of Respondent JPA. .... consultant (“Compliance Consultant”) that is not unacceptable to the staff of the.
S-14-1463-15-SC01 - Washington State Department of Financial
an order of the Securities Administrator under RCW 21.20.390 against him to cease and desist from ... Thomas Madden acted as the principal of Madden Consulting, Inc. ... all of these investors have yet to receive a return on their investment.
In the matter of Mary Hackney, Hackney Consulting Group, Inc., d/b
At all times relevant to this Order, Hackney was the CEO and chief control .... sale of the securities, the Monetization Investment Funds were not placed with the.
Complaint - Secretary of the Commonwealth
The Enforcement Section seeks an order: (1) ﬁnding as fact the allegations set .... Consultant into Envestnet, an automated investment management platform. ... Financial Consultant and Citizens Securities failed to adequately disclose that a.