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29 Oct 3:22 pm
... Raymond James (15), TD Ameritrade (10), UBS Financial Services (60), Wells Fargo Advisors (60). The program will end on October 5, 2010.
Rather than ... perception that investor arbitration is fair and impartial. FINRA should just eliminate the industry arbitrator altogether. It's time for FINRA to do that. In
fact, we would encourage ... eliminate much of the perception of industry bias and would alleviate some of the problems caused by having three person panels." Page Perry,
LLC is an Atlanta-based law ...
17 Aug 8:36 am
... Research, Inc. (HFRI) recently conducted a study that shows a recent increase in quarterly assets invested in the hedge fund industry as well as a rise in the number
of funds. This data leads some experts to remain hopeful that the industry as a ... with the features of mutual funds to offer a product that is "regulated, transparent, and
liquid." AQR Capital Management LLC added a mutual fund to its product offering earlier in the year. Diversification might spell survival for
some financial firms. ...
8 Oct 2:54 am
... San Francisco to discuss the global investing trends and how those trends are affecting the hedge fund industry. The presentation was moderated by Ron Resnick (ConselWorks
LLC) and included the following panel participants: John Burbank (Passport Capital LLC) John Shearman
( ... - liquidity without conditions. Patrick Wolff Patrick was asked point blank while his group did not do as well this year. He said that, unfortunately, they had the wrong
investments this year and that the drawdown was not a ...
8 Sep 10:34 pm
Check this out! I can praise as well as I can bash. In this post I would like to acknowledge that 4structures.com, LLC and Forge
Consulting, LLC now share being in compliance with New York Insurance Law § 2122(b) ... companies represented by several board and committee
members?
http://structuredsettlements.typepad.com/structured_settlements_4r/2009/05/a-number-of-structured-settlement-industry-websites-continue-to-skirt-new-york-insurance-law.html **Of
course I could just mind my own business, but ...
9 Apr, 2008 4:45 am
... governed strictly by the language set forth in their LLC agreements. It's that language that will in large part govern and control my
decision today." He then proceeded to apply the language of the contract as well as federal proxy law. In the order on expert ... what they're not. That means particularly
applying the contract rather than fitting them into the rigid corporate mold, created by generations of scholars, judges, practitioners and an industry of experts on "good
corporate governance."
18 Mar 12:01 am
... the JAPONAIS mark with the U.S. Patent and Trademark Office ("USPTO"). See Geisha LLC. v. Tuccillo, 2009 U.S. Dist. LEXIS 20300, Case No.
05- ... and lounge services. Tuccillo's specimen of use was a menu showing the JAPONAIS mark as well as a photo of the mark etched onto a window. Geisha subsequently moved for
summary judgment on its ... which Tuccillo swore he had a bona fide intention to use the mark in the restaurant and lounge industry and that he had no knowledge of any other use
of that mark in ...
31 Jul, 2007 2:00 pm
... capacity which will be in place by 2010. Once again the response of the thinner gauge segment of the aluminum foil industry was to form a cartel to attempt to control output
and prices. According to a report in 中国铝业网, in February 2006 five of the principal ... pre-Reform period. [Lou Schwartz is president of China Strategies, LLC and publisher of the China Renewable Energy and Sustainable Development Report, as well as the China Aluminum Industry Report. Mr. Schwartz
earned degrees in East Asian ...
20 Mar 11:18 am
... challenges and failures. But, again, it boils down to the heading that I chose for this blog. It's the Business Model; Not the Industry The failures and short comings are not
due to the economic times; it's due to the business model. ... see what companies HAVE PLANNED for these challenges. These are the companies that are more likely to survive future
challenges as well. Now is the time to evaluate HOW companies deal with the challenges that are thrown at them in order to choose who you wish to do ...
14 Sep 4:35 pm
... Fund Association (CTHFA) is the premier association of alternative investment professionals operating in the center of the global hedge fund industry. The CTHFA is a
professional society open to all stakeholders in Connecticut's hedge fund industry. On November 5, ... you were in attendance at last year's Global Alpha Forum in Greenwich last
September, you are well aware of the outstanding educational sessions we offered, including the riveting keynote sessions delivered by both former Republican ...
16 Feb, 2008 10:48 am
... company favored by structured settlement brokers and settlement planners who are on the "structured settlement factoring vig" (as well as many that are not) confirmed the
extent of the crisis by stating in writing, that a whopping 90% of the brokers that Bentzen has ... could only be seen as a "kick in the teeth" for the integrity of the structured
settlement industry. More recently another factoring company, Woodbridge Investments, LLC advertised that it has paid millions in
referral fees as part of ...
15 Dec, 2008 4:36 am
... they actually need to hire an attorney to form the business entity they desire, more commonly these days, the LLC. Well, the short
answer is no. This may surprise you coming from an attorney who specializes in small business law, but ... business, and this document can (and should) vary greatly depending on several
factors, including: (a) the particular industry in which the business is engaged, (b) the number of owners/investors that will be involved in the business (and in what capacity),
and (c ...
18 Mar, 2008 12:32 pm
... code and matters affecting auction-rate securities. Founding members are: • Wells Fargo Brokerage Services LLC. • Crews & Associates Inc. • Vining-Sparks IBG • Cronin& Co. Inc. • Tejas Securities • Duncan-Williams Inc. • Stone Youngberg LLC • Fifth Third Securities • Southwest Securities Inc. • FTN Financial • Seattle-Northwest ... ; Co. • ML Stern & Co • Incapital LLC Mike Nicholas and Michael Decker, both formerly with Securities Industry and Financial Markets Association (SIFMA), ...
26 Mar 9:30 am
... York Securities LLC and four of its ex-traders have reached a settlement with the Financial Industry Regulatory Authority over
allegations that they improperly covered short positions involving secondary offering shares, as well as engaged in associated oversight failures. Per the FINRA settlement, First
New York Securities LLC will pay $170,000 and disgorge $171,000. The former First Securities New York traders are to pay: $7,500 from ...
5 Jun, 2008 12:16 pm
... great ideas come from the necessity to solve a problem. John Zoltai, CEO of Digital Publications LLC recently emailed me to publicize his
company's PDF to searchable scanning ... make them searchable, his company is up for the task. Using powerful servers, and industrial strength encryption, outsourcing this task
may be what you need for complex litigation tasks. ... John's company meets my "Do One Thing, and Do It Well" test. Electronic Data Discovery problems nowadays are complex, and
time consuming. ...
16 Feb, 2007 5:32 am
... in a variety of professional sectors, seeking to understand the distinctive characteristics of partnership, why it is so well suited to the management of professionals, what
exactly is threatening its survival and how it should adapt in today's changing world. ... . So far here on "Adam Smith, Esq.," I have elided the distinction between the "profession"
and the "industry," adopting the working convention or rule of thumb that I say "profession" in the context of partnership structures, leadership, ...
13 Mar, 2007 11:08 pm
... or possession of all excess and fully paid margin securities that it held for customer accounts (in 2004 and 2005), as well as other violations. Both UBS Securities and Swiss
American Securities have not admitted or denied the accusations. ... recover any losses. If you are investor who has lost money from an investment because of inappropriate actions by
members of the securities industry, you are more like to obtain a recovery if you hire an attorney to represent you. Shepherd Smith and Edwards ...
4 Jan 10:30 am
... fact, Ring sold the data entry business in 1988 and developed 713Training.com, LLC, which includes a Web site endeavoring to teach
attorneys, paralegals and virtual ... the data needed for a bankruptcy petition - such as tax returns, debts and assets, as well as having them enter the data into the bankruptcy
software - has freed Gonzalez ... similar attitude, citing his move into bankruptcy law when the real estate industry began to contract. "I definitely enjoy my practice now,"
Gonzalez said. "I go ...
14 Jan 6:06 am
... a wholesale abandonment of true innovation among carriers in the face of great opportunity; the opportunity to differentiate itself from the investment industry as the
providers of superior retirement solutions." I can't help but think of these discussions in the context of ... anyone else and how do we ensure that we continue to be in a place to do
it? I think insurers will find themselves well-served by the same inquiry as will regulators. When any of us try to do too much and spread ourselves to ...
14 Nov, 2008 3:23 pm
... to Shut Heart Drug Manufacturer", got our attention due to the fact that this drug company, Actavis Totowa LLC, was responsible for the
April 2008 Digitek recall as well as an August 2008 recall of all other generic drugs made at its Little Falls, New Jersey ... Department of Justice (DOJ) issued a Press Release
concerning the court papers that were filed against Actavis Totowa LLC, "U.S. Files Suit Against New Jersey Generic Drug Manufacturer That
Distributed Adulterated and Misbranded Products", ...
29 Sep, 2008 4:54 am
... interpretations are possible.) In any event, some professional societies (e.g., American College of Cardiology) are in on the development of the pilot accreditation standards.
Industry groups such as the Medical Imaging & Technology Alliance would also prefer to see the OPPS cap reversed, and allow ... around five years from now, if the MIPPA
accreditation approach takes hold on time and percolates into the private sector as well. David Harlow The Harlow Group LLC Health Care
Law and Consulting
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