Financial adviser

Decision Notice - CIRO Sanctions Antony Kin San Chau

Retrieved on: 
Friday, April 5, 2024
Disclosure, Investment, Hearing, CIRO, The central science, Financial adviser

The hearing panel imposed the following sanctions on Antony Kin San Chau:

Key Points: 
  • The hearing panel imposed the following sanctions on Antony Kin San Chau:
    a permanent prohibition from conducting securities related business while in the employ of or associated with any Dealer Member of CIRO, and
    Antony Kin San Chau is also required to pay costs in the amount of $6,000.
  • The Notice of Hearing and Statement of Allegations which sets out the allegations are available at:
    During the period described in the Notice of Hearing, Antony Kin San Chau conducted business in the Toronto, Ontario, area.
  • The Canadian Investment Regulatory Organization (CIRO) is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada's debt and equity marketplaces.
  • CIRO is committed to the protection of investors, providing efficient and consistent regulation, and building Canadians' trust in financial regulation and the people managing their investments.

AGILITY SHAREHOLDER ALERT: Kaskela Law LLC Announces Shareholder Investigation of Agiliti, Inc. (AGTI) Buyout and Encourages Investors to Contact the Firm

Retrieved on: 
Monday, March 25, 2024
Thomas H. Lee Partners, Acquisition, Financial adviser

PHILADELPHIA, March 25, 2024 (GLOBE NEWSWIRE) -- Kaskela Law LLC announces that it is investigating Agiliti, Inc. (NYSE: AGTI) on behalf of the company’s investors.

Key Points: 
  • PHILADELPHIA, March 25, 2024 (GLOBE NEWSWIRE) -- Kaskela Law LLC announces that it is investigating Agiliti, Inc. (NYSE: AGTI) on behalf of the company’s investors.
  • Agiliti shareholders are encouraged to contact Kaskela Law LLC (D. Seamus Kaskela, Esq.
  • Kaskela Law LLC exclusively represents investors in securities fraud, corporate governance, and merger & acquisition litigation on a contingent basis.
  • For additional information about Kaskela Law LLC please visit www.kaskelalaw.com .

Faircourt Asset Management Inc. Announces March Distribution

Retrieved on: 
Saturday, March 23, 2024
Disclosure, Financial adviser, Fund, Share (finance), NEO Exchange, Security (finance)

Faircourt Asset Management Inc. is the Investment Advisor for Faircourt Gold Income Corp.

Key Points: 
  • Faircourt Asset Management Inc. is the Investment Advisor for Faircourt Gold Income Corp.
  • This press release is not for distribution in the United States or over United States wire services.
  • If the Shares are purchased or sold on an exchange, investors may pay more than the current net asset value when buying Shares of the Fund and may receive less than the current net asset value when selling them.
  • An investment fund must prepare disclosure documents that contain key information about the fund.

NCLA Asks en Banc Fifth Circuit to Vacate Legally Defective Nasdaq Board Diversity Rules

Retrieved on: 
Friday, March 22, 2024
Speech, Administration, Congress, Exchange, Public policy, Constitutional right, NCLA, Financial adviser

These Rules impose gender, race and sexual orientation quotas on corporate board membership for Nasdaq-listed companies.

Key Points: 
  • These Rules impose gender, race and sexual orientation quotas on corporate board membership for Nasdaq-listed companies.
  • A Fifth Circuit panel had upheld the Board Diversity Rules, but the en banc court granted NCLA’s request to rehear the case.
  • The Fifth Circuit panel in this case deferred to that flawed reasoning without addressing the statutory prohibitions that should invalidate the Rules.
  • NCLA looks forward to the en banc Fifth Circuit’s addressing each of these problems in turn.

TRADING VOLUMES SURGE AS GRANITESHARES SURPASSES $4B AUM

Retrieved on: 
Friday, March 22, 2024
Microsoft, AMD, Growth, ETF, AUM, Tech, Amazon, Financial adviser

NEW YORK, March 22, 2024 (GLOBE NEWSWIRE) -- GraniteShares, an entrepreneurial ETF provider, today announces it has surpassed $4 billion in assets under management (AUM).This milestone is achieved as the GraniteShares suite of ETFs experience rapid growth.

Key Points: 
  • NEW YORK, March 22, 2024 (GLOBE NEWSWIRE) -- GraniteShares , an entrepreneurial ETF provider, today announces it has surpassed $4 billion in assets under management (AUM).This milestone is achieved as the GraniteShares suite of ETFs experience rapid growth.
  • "Our core mission has always been to provide investors with innovative and accessible investment solutions,” said Will Rhind, Founder and CEO of GraniteShares.
  • "Investors want to maximize exposure to AI, Tech and Crypto, and at times hedge those positions.
  • Our 2X Short and Leveraged Single Stock offerings allow that with the efficiency of an ETF structure.”
    In response to increasing investor demand for single-stock ETFs, GraniteShares launched 3 new leveraged single stock ETFs on AMD, Amazon and Microsoft.

Pensionmark and Vestmark Announce Strategic Partnership to Help Shape the Future of Wealth Management

Retrieved on: 
Thursday, March 21, 2024
Organization, World map, Partnership, Separately managed account, Garrison, Financial adviser

SANTA BARBARA, CA, March 21, 2024 (GLOBE NEWSWIRE) -- Pensionmark Financial Group, a leading financial advisory firm and the financial services division of World Insurance Associates LLC, announced today a strategic partnership with Vestmark, Inc., a leading provider of wealth management software and services, aimed at revolutionizing the landscape of wealth management.

Key Points: 
  • SANTA BARBARA, CA, March 21, 2024 (GLOBE NEWSWIRE) -- Pensionmark Financial Group, a leading financial advisory firm and the financial services division of World Insurance Associates LLC, announced today a strategic partnership with Vestmark, Inc., a leading provider of wealth management software and services, aimed at revolutionizing the landscape of wealth management.
  • “In order for us to onboard that burden successfully and at scale, Pensionmark partners with leading technology providers.
  • “This partnership represents our ongoing commitment to shaping the future of wealth management by empowering advisors to provide exceptional service and outcomes.”
    Vestmark’s power lies in its ability to provide sophisticated portfolio management and trading solutions that prioritize personalization and tax management.
  • Furthermore, the partnership will facilitate seamless asset transition services, helping advisors transition assets to the Pensionmark platform and providing ongoing tax management.

LPL Financial Welcomes Advisor Nolan Venable

Retrieved on: 
Thursday, March 21, 2024
LPL, Insurance, SAN, RIA, Workflow, Business development, Financial adviser

SAN DIEGO, March 21, 2024 (GLOBE NEWSWIRE) -- LPL Financial LLC announced today that financial advisor Nolan Venable, Enrolled Agent has joined LPL Financial’s broker-dealer, RIA and custodial platforms.

Key Points: 
  • SAN DIEGO, March 21, 2024 (GLOBE NEWSWIRE) -- LPL Financial LLC announced today that financial advisor Nolan Venable, Enrolled Agent has joined LPL Financial’s broker-dealer, RIA and custodial platforms.
  • He reported serving approximately $150 million in advisory, brokerage and retirement plan assets* and joins LPL from Osaic.
  • Venable has been an independent advisor his entire career, founding Wealth Advisors in 1984 with a goal of helping clients with each aspect of their financial lives.
  • His Lafayette, La.-based team takes a holistic approach to wealth management by providing comprehensive financial advice and planning for retirees and pre-retirees.

LPL Financial Welcomes McAnally Investment Group

Retrieved on: 
Wednesday, March 20, 2024
Certification, Family, Partnership, SAN, Business development, LPL, RIA, Wells Fargo Advisors, Operation, CPA, Financial adviser

SAN DIEGO, March 20, 2024 (GLOBE NEWSWIRE) -- LPL Financial LLC announced today that financial advisors Mark McAnally, Josh McAnally and Brandon McAnally, CPA, have joined LPL Financial’s broker-dealer, RIA and custodial platforms.

Key Points: 
  • SAN DIEGO, March 20, 2024 (GLOBE NEWSWIRE) -- LPL Financial LLC announced today that financial advisors Mark McAnally, Josh McAnally and Brandon McAnally, CPA, have joined LPL Financial’s broker-dealer, RIA and custodial platforms.
  • The team reported serving approximately $250 million in advisory, brokerage and retirement plan assets* and joins LPL from Wells Fargo Advisors.
  • Based in Booneville, Miss., McAnally Investment Group is a family-run business led by Mark, who began his career in 2000 as a solo practitioner.
  • Together, they provide personalized wealth management and financial services for each stage of their clients’ lives.

Joseph W. Adams Joins Wayne Bank as Senior Vice President

Retrieved on: 
Tuesday, March 19, 2024
Community, Wealth management, Palmyra Township, Trust, Commerce, Business manager, Committee, Financial adviser, Finger Lakes, Equal housing lender, Renovation, Financial management, Pace University, University, Senior, Lakes Region, Certification, FDIC, Bank, MBA, Pennsylvania House of Representatives, Management

HONESDALE, Pa., March 19, 2024 (GLOBE NEWSWIRE) -- Jim Donnelly, President and CEO of Wayne Bank, announced the appointment of Joseph W. Adams as Senior Vice President and Director of Wealth Management and Investment Services for Wayne Bank.

Key Points: 
  • HONESDALE, Pa., March 19, 2024 (GLOBE NEWSWIRE) -- Jim Donnelly, President and CEO of Wayne Bank, announced the appointment of Joseph W. Adams as Senior Vice President and Director of Wealth Management and Investment Services for Wayne Bank.
  • Adams most recently served as Director for Norwood Financial Corp and Wayne Bank, having resigned that position during the March 19, 2024 board meeting.
  • This is an exciting evolution for Wayne Bank and its employees, customers, and shareholders.”
    Adams has 39 years of financial management experience and has held titles including Business Manager, Financial Advisor, School Superintendent, and Senior Executive Vice President of Wealth Management.
  • Wayne Bank is a wholly-owned subsidiary of Norwood Financial Corp. Wayne Bank is a Member FDIC, an Equal Housing Lender, and is headquartered in Honesdale, Pennsylvania.

Flourish Announces New Relationship with Focus Financial to Bring Flourish Cash to More Focus Firms

Retrieved on: 
Tuesday, March 19, 2024
Orbit, Partnership, RIAS, Growth, Focus Financial Partners, Financial adviser

New York, March 19, 2024 (GLOBE NEWSWIRE) -- Flourish , a platform that provides innovative access to financial products that help registered investment advisors (“RIAs”) improve their clients’ financial outcomes, today announced a new formal relationship with Focus Financial Partners (“Focus”), a leading partnership of independent, fiduciary wealth management firms, to make Flourish Cash available to additional Focus firms.

Key Points: 
  • New York, March 19, 2024 (GLOBE NEWSWIRE) -- Flourish , a platform that provides innovative access to financial products that help registered investment advisors (“RIAs”) improve their clients’ financial outcomes, today announced a new formal relationship with Focus Financial Partners (“Focus”), a leading partnership of independent, fiduciary wealth management firms, to make Flourish Cash available to additional Focus firms.
  • Flourish already works with over a dozen Focus firms, including Buckingham Strategic Wealth, LLC, which has previously shared its success in leveraging Flourish , and The Colony Group, LLC.
  • This new relationship formalizes the existing strong organic relationship between Flourish and Focus and sets the stage for making Flourish Cash available to additional Focus firms as Focus enters its next phase of growth.
  • “Formalizing our relationship recognizes the mutual benefits that Focus firms, their end clients, Focus, and Flourish have already enjoyed so far.