Broker-dealer

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2 days, 6 hours ago

First Allied will pay SEC $1.95 million to settle case

First Allied Securities, a securities broker-dealer based in San Diego, has agreed to pay $1.95 million to the Securities and Exchange Commission to settle charges that it failed to reasonably ... San Diego Union-Tribune Business - 12:03 a.m. Wednesday 10th March 2010 PST View Article Related Articles Email to Friend

1 week, 2 days ago

Ticonderoga Hires Pali’s Lefberg for Merger Arbitrage (Update1)

Ticonderoga Securities LLC, the New York-based broker-dealer started in May, said it hired Andrew Lefberg of Pali Capital as head of risk arbitrage with a focus on takeovers. BusinessWeek.com -- Top News - 5:44 a.m. Wednesday 3rd March 2010 PST View Article Related Articles Email to Friend

SharesPost Index tracks blue chip pre-IPO stocks

Facebook. Linden Lab. LinkedIn. Serious Materials. Tesla Motors. Twitter. Zynga. These are the Dow Jones Industrial Index of venture-backed, pre-IPO companies according to SharesPost, which lets accredited investors buy and ... VentureBeat - 4:59 a.m. Wednesday 3rd March 2010 PST View Article Related Articles Email to Friend

3 weeks, 2 days ago

US SEC mulls exemptions for pay-to-play proposal

WASHINGTON, Feb 16 (Reuters) - U.S. securities regulators could water down their own proposal to restrict money managers from helping investment funds win lucrative business with government pension funds, in ... Reuters: Private Equity - 8:53 a.m. Tuesday 16th February 2010 PST View Article Related Articles Email to Friend

Pali Capital Will Close After Failing to Find Buyer (Update1)

Pali Capital, the New York-based broker-dealer that had been in merger talks with Braver Stern Securities Corp., will shut down after failing to find a buyer. BusinessWeek.com -- Top News - 8:31 a.m. Tuesday 16th February 2010 PST View Article Related Articles Email to Friend

3 weeks, 4 days ago

Ask the attorney: ‘Finder’ keepers could be losers, weepers

(Editor’s note: “Ask the Attorney” is a weekly VentureBeat feature allowing start-up owners to get answers to their legal questions. Submit yours in the comments below and look for answers ... VentureBeat - 6 a.m. Monday 15th February 2010 PST View Article Related Articles Email to Friend

1 month, 1 week ago

Ones to watch in retirement planning

Michael W. Diaz Owner Innovative Planning Services Based in Woodbury, Diaz provides advice, securities and financial services to those seeking to manage their investments or plan retirement. He also operates ... Long Island Business News » Finance - 5:38 a.m. Wednesday 3rd February 2010 PST View Article Related Articles Email to Friend

1 month, 2 weeks ago

State, Galvin accuses Ameriprise of hiding financial risks

Massachusetts Secretary of State William Galvin charged yesterday that Securities America, a broker-dealer division... Business - BostonHerald.com - 7:39 p.m. Tuesday 26th January 2010 PST View Article Related Articles Email to Friend

State seeks restitution for Securities America investors

Secretary of State William Galvin alleges that Securities America, a broker-dealer division of Ameriprise Financial,... Business - BostonHerald.com - 8:40 a.m. Tuesday 26th January 2010 PST View Article Related Articles Email to Friend

1 month, 3 weeks ago

Jackson National Life CIO Mark Clark Emphasizes Simplicity and Service

Working in close partnership with operations, Jackson National Life's CIO seeks to meet intensifying broker-dealer demands and drive 'explosive growth' while controlling costs. TechWeb - 9 a.m. Tuesday 19th January 2010 PST View Article Related Articles Email to Friend

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