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IAPD provides information on Investment Adviser firms regulated by the SEC and/or state securities regulators.
16 Οκτ 2024 · For our review of 49 Financial, we used regulatory data from the SEC to summarize the disciplinary history and conflicts of interest for the firm.
28 Αυγ 2024 · On January 10, 2024, the Consumer Financial Protection Bureau, and the States of New York, Colorado, Delaware, Illinois, Minnesota, North Carolina, and Wisconsin (“Plaintiffs”) filed a lawsuit against the following parties: Defendants: BCF Capital, LLC. Bedrock Client Services, LLC.
14 Αυγ 2024 · The Securities and Exchange Commission today announced charges against 26 broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers for widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communications.
M ore than three years after a $2.67 billion settlement was reached regarding antitrust claims against Blue Cross Blue Shield insurance plans, including Highmark, former policyholders might soon...
49 Financial provides comprehensive financial planning services to individuals and businesses to help them achieve their financial goals.
23 Αυγ 2023 · Goldman Sachs, Morgan Stanley, JPMorgan Chase and UBS have agreed to pay almost $500mn to settle a long-running lawsuit alleging they violated antitrust laws by blocking efforts to modernise the...
