- Lightyear Capital and PSP Investments Agree to Acquire AIG ...🔍
- Ex|PaineWebber chief Don Marron snares ING B|Ds🔍
- Condensed consolidated interim financial information for ...🔍
- Lightyear Buys ING Advisors🔍
- Cetera to Buy Voya Brokerage Unit with 900 Reps🔍
- ING Broker Dealers'🔍
- Lightyear Buys Another Broker Network; Retains Top Brass🔍
- Marron's Lightyear out to raise $1.1 bln fund🔍
ING agrees to sell three of its U.S. broker|dealers to Lightyear
Lightyear Capital and PSP Investments Agree to Acquire AIG ...
(“Advisor Group”), a subsidiary of American International Group (“AIG”). The transaction is subject to customary regulatory and other approvals.
Ex-PaineWebber chief Don Marron snares ING B-Ds - Investment ...
ING Groep NV said last week that it reached an agreement to sell three of its independent broker-dealers to Lightyear Capital LLC, his private-equity firm.
Condensed consolidated interim financial information for ... - ING Bank
In November 2009 ING reached an agreement to sell three of its U.S. independent retail broker-dealer units to Lightyear. Capital LLC. The transaction ...
2010 - ING Reinsurance and Three Broker-Dealers of ING Advisors Network Sold ... As part of the company's "Back to Basics" effort, ING Group sold the U.S. group ...
Lightyear Buys ING Advisors, Rebrands It Cetera | Financial Planning
Cetera Financial Group was born Monday as ING Groep NV announced its sale of ING Advisors to New York's Lightyear Capital, ahead of the ...
Cetera to Buy Voya Brokerage Unit with 900 Reps - AdvisorHub
The transaction is expected to close in the second or third quarter of 2021, the companies said. Terms of the deal were not disclosed, but Des ...
ING Broker Dealers' | - Wealth Management
I'm sure everyone read the news about the potential sale of ING Broker-Dealers' to Lightyear Capital. I believe at one point AIG's B/D ...
Lightyear Buys Another Broker Network; Retains Top Brass
Lightyear Capital, the same private equity firm that launched and then sold Cetera Financial Group, is back in the independent broker-dealer game with a plan to ...
Marron's Lightyear out to raise $1.1 bln fund | Reuters
Marron, after selling the fourth-largest U.S. brokerage to Swiss bank UBS in ... dealers from ING Groep , businesses now doing business as Cetera Financial. The ...
Cetera Financial Group - Wikipedia
... ING Group sold three broker-dealers to private equity firm Lightyear Capital. The three broker-dealers—Financial Network Investment Corporation, founded in ...
The Canadian Securities Administrators have agreed not to make inquiries of any American broker-dealer or agent on a reciprocal basis. Sec. 202. [REGISTRATION ...
Broker/Dealer Archives | Page 25 of 30 | PLANADVISER
ING has reached an agreement to sell three of its U.S. independent retail broker ... three-quarters of the ING Advisors Network—to Lightyear Capital LLC. 1 ...
2 Entities that effect transactions in security futures products are subject to registration both as broker-dealers under the Exchange Act and FCMs (or ...
Investor and Industry Perspectives on Investment Advisers and ...
To better understand the industry's dynamics and its effects on individual investors, the U.S. Securities and Exchange Commis- sion (SEC) commissioned RAND to ...
FINRA Rule 2111 (Suitability) FAQ
... his firm to sell the securities. The requirement that a broker's recommendation must be consistent with the customer's best interests does not obligate a broker ...
ING Groep NV Sells 15,983 Shares of Arthur J. Gallagher & Co ...
ING Groep NV trimmed its stake in shares of Arthur J. Gallagher & Co. (NYSE:AJG - Free Report) by 59.1% in the 3rd quarter, according to its ...
Lightyear seeks buyer for Advisor Group - Buyouts
Lightyear Capital has put Advisor Group up for sale, three years after buying the broker-dealer, three sources said.
Regulation Best Interest: The Broker-Dealer Standard of Conduct
The Commission is also adopting amendments to rules 17 CFR 240.17a-3 and 17 ... 9, 2018) (“Proposing Release”) at 21574-75; see also Staff of the U.S. ...
ING GROEP N.V. Joint Global Coordinators and Joint Bookrunners ...
... the Securities Act and in accordance with applicable securities laws and (3) a public offering in the United States under the Securities Act. The Global ...
BI applies to any rec- ommendation of a securities transaction, includ- ing the purchase, sale, or exchange of a security, ... agrees that the broker-dealer has ...