Investment adviser

RECENT NEWS
Mondo Visione  Aug 11  Comment 
The Securities and Exchange Commission today announced fraud charges against a San Francisco man and his investment advisory firm accused of pretending to manage millions of dollars in assets and then stealing money from the first client who...
MarketWatch  Jun 21  Comment 
Ash Narayan used Ponzi-like scheme to “invest” their money in The Ticket Reserve Inc.
The Hindu Business Line  Jun 12  Comment 
You can benefit from advice, but taking charge of your savings can be satisfying
New York Times  Apr 29  Comment 
Regulators and others question whether robo-advisers, which assemble investment portfolios online, can grasp clients’ situations the way humans can.
newratings.com  Oct 8  Comment 
NEW CITY ENERGY LIMITED Date of Announcement: 08/10/2015 CHANGE OF INVESTMENT ADVISER AND AIFM OF NEW CITY ENERGY LIMITED ('THE COMPANY') The Directors wish to advise all shareholders that the Company's existing investment...
Mondo Visione  Oct 5  Comment 
The Securities and Exchange Commission today announced fraud charges against Florida-based investment adviser Arthur F. Jacob and his company, Innovative Business Solutions LLC, for allegedly deceiving clients over a period of at least five...
Mondo Visione  Sep 22  Comment 
The Securities and Exchange Commission today announced that a St. Louis-based investment adviser has agreed to settle charges that it failed to establish the required cybersecurity policies and procedures in advance of a breach that compromised...
Wall Street Journal  Sep 2  Comment 
Mergers and acquisitions involving registered investment advisers grew in number and asset size in the first half of 2015, according to data released Wednesday by a unit of Charles Schwab Corp.
MarketWatch  Jun 29  Comment 
An investment adviser was charged by the Securities and Exchange Commission with "cherry-picking" which options trades he allocated to clients. According to the SEC, Mark P. Welhouse of Welhouse & Associates delayed allocation of purchases to...




RELATED WIKI ARTICLES

Related Articles

 
TOP CONTRIBUTORS

Investment advisers

A person who gives advice on Investments. Those who work for closed-end companies, are prohibited from disseminating advice known to be deceitful or fraudulent, and from acting as a principal on their own accounts by buying and selling securities between themselves and a client without prior written consent. [1]

Means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities. [2] The spellings investment adviser and Investment advisor are both correct.

From advice c.1300 from avis "opinion, it seems to me, in my view. [3]1610s, agent from advise. [4]

References

Wikinvest © 2006, 2007, 2008, 2009, 2010, 2011, 2012. Use of this site is subject to express Terms of Service, Privacy Policy, and Disclaimer. By continuing past this page, you agree to abide by these terms. Any information provided by Wikinvest, including but not limited to company data, competitors, business analysis, market share, sales revenues and other operating metrics, earnings call analysis, conference call transcripts, industry information, or price targets should not be construed as research, trading tips or recommendations, or investment advice and is provided with no warrants as to its accuracy. Stock market data, including US and International equity symbols, stock quotes, share prices, earnings ratios, and other fundamental data is provided by data partners. Stock market quotes delayed at least 15 minutes for NASDAQ, 20 mins for NYSE and AMEX. Market data by Xignite. See data providers for more details. Company names, products, services and branding cited herein may be trademarks or registered trademarks of their respective owners. The use of trademarks or service marks of another is not a representation that the other is affiliated with, sponsors, is sponsored by, endorses, or is endorsed by Wikinvest.
Powered by MediaWiki