Search for: "J & P Investments LLC"
Results 41 - 60
of 218
Sorted by Relevance
|
Sort by Date
15 May 2019, 3:45 pm
(PAA), Howard J. [read post]
28 Aug 2018, 11:12 am
P. [read post]
6 May 2014, 4:26 pm
Enforcement actions involving violations of Section 30(a) of SEC Regulation S-P (the Safeguards Rule)—which requires broker-dealers and investment advisers to adopt written policies and procedures reasonably designed to protect customer information—are instructive as to the magnitude of these regulatory risks. [read post]
7 Apr 2008, 4:18 am
Cohen and his firm, Cohen & Werz LLC (the "Cohen Defendants"); Martin P. [read post]
23 Sep 2013, 12:50 pm
Dunaske, Michael P. [read post]
1 Nov 2023, 11:41 am
Freeport, like Masterworks, do not tokenize the objects themselves; Rather, they set up series LLC who acquires an artwork, via affiliated Freeport Curation LLC, which then becomes the series LLC’s primary asset and subject to investment under Tier 2 Regulation A of the Securities Act.[16] The tokens registered on the blockchain are just a corresponding visual representation of the ownership interest to a particular series, not conferring any rights that the… [read post]
25 Aug 2023, 5:58 pm
Program Co-Chairs: Justin P. [read post]
23 Apr 2013, 6:28 am
Bridge Premium Finance, LLC (f/k/a Berjac of Colorado, LLC), Michael J. [read post]
17 Nov 2008, 11:00 pm
Discolo, AIG Investments Sarah Dunn, Coach David J. [read post]
5 Aug 2008, 3:36 pm
" McGraw-Hill said S&P "has consistently invested in resources and increased its professional staff across its business lines. [read post]
3 Feb 2021, 1:49 pm
Morgan Securities LLC (“J.P. [read post]
30 Sep 2011, 6:25 am
Brady and Ryan P. [read post]
10 Jun 2016, 7:12 am
Consequently, then-employee Galen J. [read post]
6 Dec 2013, 12:27 pm
J. [read post]
28 Jan 2023, 7:32 am
(A Systematic Literature Review of Socially Reposnible Investing (SRI) and Environmental Social Givernnace (ESG), p- 25). [read post]
10 Mar 2014, 10:55 am
P. [read post]
28 Jan 2022, 4:01 am
February 23, 2022 - 1 PM: John P. [read post]
8 Jun 2016, 9:53 am
The SEC’s order finds that Morgan Stanley violated Rule 30(a) of Regulation S-P, also known as the “Safeguards Rule. [read post]
27 Feb 2013, 7:30 am
P. 12. [read post]
12 Aug 2015, 5:58 am
Pom Wonderful LLC v. [read post]
