Reference
Compliance Programs
- James Goodland, Investment Advisers Act Rel. No. 4213 (September 30, 2015)
- Pekin_Singer_Strauss_Rel_IA-4126_June_23_2015
- Thomas Meade - IA-3855 - 6-11-2014
- Agamas Capital Management - IA-3719 - 11-19-2013
- Stephen Derby Gisclair - IA-3703 - 10-23-2013
- Modern Portfolio Management - IA-3702 - 10-23-2013
- Equitas Capital Management - IA - 3704 - 10-23-2013
- UBS O’Connor LLC - IA-3615 - 6-3-2013