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7 Apr 2017, 6:00 am
Political Landscape Posted by George Dallas and Kerrie Waring, International Corporate Governance Network, on Friday, March 31, 2017 Tags: Boards of Directors, Compliance & ethics, Dodd-Frank Act, Donald Trump, ESG, FCPA, Financial regulation, Institutional Investors, Institutional monitoring, International governance, Investor horizons, Presidential elections, Securities regulation, Systemic risk, Taxation How Delaware May Be Dethroned and Why It Should… [read post]
17 Jan 2009, 9:47 am
Page Perry's attorneys are actively involved in counseling institutional and individual investors regarding their investment problems. [read post]
16 Dec 2009, 8:35 am
Page Perry’s attorneys are actively involved in representing institutional and individual investors in YieldPlus actions. [read post]
13 Oct 2011, 7:39 pm
Raj Rajaratnam, a billionaire investor and co-founder of Galleon Group LLC, has been ordered to pay a $10 million fine and serve 11 years in jail for his key role in an insider trading scam that resulted in $63.8M in illegal profits. [read post]
12 Nov 2008, 8:40 pm
Page Perry's attorneys are actively involved in representing individual and institutional investors regarding their investments in Lehman notes and similar structured products. [read post]
7 Apr 2011, 10:56 pm
For a payment of $11.2 million, Wells Fargo & Co. will settle US Securities and Exchange Commission allegations that Wachovia Capital Markets LLC misled investors and improperly sold two collateralized debt obligations in 2007 and 2006. [read post]
23 Dec 2020, 1:17 pm
Investor lawyer Alan Rosca, of Goldman Scarlato & Penny PC law firm is investigating conduct related to the multiple pending customer dispute instituted against Jeffrey Guy Labelle on allegations including unsuitability of investments, negligence and breach of fiduciary duty among others. [read post]
23 Dec 2020, 1:17 pm
Investor lawyer Alan Rosca, of Goldman Scarlato & Penny PC law firm is investigating conduct related to the multiple pending customer dispute instituted against Jeffrey Guy Labelle on allegations including unsuitability of investments, negligence and breach of fiduciary duty among others. [read post]
14 Oct 2021, 12:32 pm
On September 30, 2021, the SEC filed a civil complaint against Ron Harrison and his company Global Trading Institute, LLC seeking an injunction and to have a restraining order put in place to freeze his assets. [read post]
2 Oct 2019, 6:13 am
On March 11, 2019, the Commission instituted actions against 79 advisers that participated in the initiative, ordering the payment of over $125 million in disgorgement and prejudgment interest to investors. [read post]
13 Nov 2009, 11:26 am
Page Perry’s attorneys are actively involved in representing institutional and individual investors in securities cases. [read post]
22 Mar 2008, 7:22 am
Page Perry's attorneys are actively involved in representing individual and institutional investors regarding their investment problems. [read post]
23 Jan 2009, 10:21 am
Page Perry, LLC is an Atlanta-based law firm with over 125 years collective experience representing investors in securities-related litigation and arbitration. [read post]
28 Sep 2011, 1:55 am
TweetYesterday the Council of Institutional Investors released a white paper, prepared by Farient Advisors LLC, analyzing 37 “failed” say-on-pay votes from annual meetings taking place between January 1 and July 1, 2011, and citing another 37 votes that “passed” but by a margin of 10% or less. [read post]
10 Feb 2023, 7:04 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, February 10, 2023 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of February 3-9, 2023 Investing in Influence: Investors, Portfolio Firms, and Political Giving Posted by Raymond Fisman (Boston University), on Friday, February 3, 2023 Tags: Corporate governance, Institutional Investors, PAC, Russell 2000, S&P 500, Shareholders … [read post]
10 Feb 2023, 7:04 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, February 10, 2023 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of February 3-9, 2023 Investing in Influence: Investors, Portfolio Firms, and Political Giving Posted by Raymond Fisman (Boston University), on Friday, February 3, 2023 Tags: Corporate governance, Institutional Investors, PAC, Russell 2000, S&P 500, Shareholders … [read post]
9 Nov 2009, 8:31 am
Page Perry’s attorneys are actively involved in representing institutional and individual investors in YieldPlus actions. [read post]
29 Aug 2012, 12:10 pm
In other institutional investment fraud news, the Securities and Exchange Commission has filed charges against Edward Bronson and his E-Lionheart Associates LLC. [read post]
3 Jan 2020, 5:37 am
Institutional Trading around Corporate News: Evidence from Textual Analysis Posted by Alan Guoming Huang (University of Waterloo), Hongping Tan (McGill University), and Russ Wermers (University of Maryland), on Friday, December 27, 2019 Tags: High-frequency trading, Information asymmetries, Information environment, Institutional Investors, Market reaction, Reputation SEC Proposes to Expand Definition of “Accredited… [read post]
15 Aug 2012, 8:25 am
Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC ("Wells Fargo") and Shawn McMurty of Minnesota, the former vice-president of its Institutional Brokerage and Sales Division, have agreed to settle charges by the Securities and Exchange Commission ("SEC") relating to the sales of certain asset-backed commercial paper investments to certain institutional customers, including municipalities and non-profit organizations. [read post]
