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StoneCastle Financial's (BANX) CEO Josh Siegel on Q3 2017 Results - Earnings Call Transcript
This would depend on numerous factors, such as changes in securities or financial markets or general economic conditions ... although they are fewer in number than this time last year. Our adviser, StoneCastle Asset Management, invest the company's.

Petrus Resources Announces Third Quarter 2017 Financial and Operating Results
Petrus has initiated a non-core asset divestiture process for its Central Alberta (Thorsby) and Foothills areas, and has engaged GMP Securities L.P. ("GMP FirstEnergy") as its exclusive financial advisor to assist with the process. Through the divestiture.

Securities America Acquires Assets of Wall Street Financial Group
BUSINESS WIRE)--Securities America, a wholly-owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE MKT ... broker-dealers with more than 2,000 independent advisors and $58 billion in client assets.

Former investment adviser pleads guilty in $3 million fraud
Richard Mark Schmerman, 58, pleaded guilty to stealing more ... Schmerman was a registered securities salesman and investment adviser representative operative under Diversified Financial in Arizona. Schmerman, who was indicted by a grand jury in March.

Dyadic International Reports Third Quarter 2017 Financial Results
The carrying value of investment grade securities, including interest receivable as of September ... for the nine months ended September 30, 2017, increased 58.8% to approximately $1,531,000 compared to $964,000 for the same period a year ago.

The Key Characteristics Clients Want in an Advisor
For more, see: 7 Financial Advisor Red Flags.) Ted Halpern, AAMS, CRPC, AWMA, RFC and president and founder of ... “The first step is to find out if an advisor is federally registered with the SEC," said Halpern. "If not, move on. It’s also crucial.

58 Indian companies in 2017 Forbes 'Global 2000' list
But there has been one underlying theme in each phase; life gave me the chance to observe and tell a story -- from early days tracking a securities scam to terror ... as an investment advisor -- and also taught the finer aspects of business journalism.

Waltham-Based RIA, The Harvest Group, Responds to Morgan Stanley's Withdrawal from the Broker Protocol by Vowing to Help Advisors Go Independent
BOSTON, MA--(Marketwired - Nov 6, 2017) - The Harvest Group Wealth Management, LLC, a family-owned, independent Registered Investment Advisor (RIA), is stepping up efforts to help veteran wirehouse financial ... CFP®, CIMA®, CRPC®, along with his.

Former financial adviser for NFL players banned from industry by FINRA
Former financial adviser Jinesh “Hodge” Brahmbhatt ... the FBI and the U.S. Securities and Exchange Commission — were probing investments the financial adviser, who was once registered by the NFL Players Association, helped sell to NFL and NBA.

SEC reveals 2016 hack that may have been used for illegal trades
The nation’s top financial ... the SEC — that there will be intrusions, and that a key component of cyber risk management is resilience and recovery.” Rossi said it was ironic that the SEC has been cracking down on investment advisors and broker.


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