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FINRA Disciplinary Actions for January 2019 Name Individuals Barred for Failure to Comply with FINRA Rules
30 Jan 2019, 1:06 pm by Silver Law Group
  Pro-Integrity Securities   Evans, Makisha   Feitelnerg, Brendan   United Planners Financial Services   LPL Financial LLC   Jimenez, Mario   Merrill Lynch, Pierce, Fenner & Smith Inc   Bank of America   Justafort, Frantz   JP Morgan Securities LLC   Chase Investment Services   Maddox, Nicholas   TCFG Wealth Management LLC   US Bancorp Investments   Gustavo Madrigal-Flores… [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
New York Governor Andrew M. Cuomo announces thirteen new appointments to his administration
4 Jun 2015, 11:30 am by Public Employment Law Press
Stone was Senior Managing Director in charge of the Mortgage, Asset- Backed and Real Estate Securities Group at Daiwa Securities America. [read post]
New York Public Personnel Law - https://publicpersonnellaw.blogspot.com/
New York Governor Andrew M. Cuomo announces thirteen new appointments to his administration
4 Jun 2015, 11:30 am by The Public Employment Law Press
Stone was Senior Managing Director in charge of the Mortgage, Asset- Backed and Real Estate Securities Group at Daiwa Securities America. [read post]
New York Public Personnel Law - https://publicpersonnellaw.blogspot.com/
eDiscovery Mergers, Acquisitions, and Investments in Q2 2022
1 Jul 2022, 1:57 pm by Rob Robinson
. (+) 7-March-22L2 ServicesEmpire Technologies Risk Management Group 3-March-22ThoughtTraceThomson ReutersDefinitive Agreement to Acquire 24-February-22Hold360 and Request360 from Congruity 360DISCO 24-February-22Cybersecurity and Data Protection Practice of Palmeiro & PlattEmpire Technologies Risk Management Group 26-January-22U.S. eDiscovery Retreat Programs (From Sub-Four Capital)The CJK Group 19-January-22QuovantMitratech 16-December-21GoldMindEmpire Technologies… [read post]
ComplexDiscovery - https://complexdiscovery.com/
Eccleston Law Actively Seeking Investors Suffering Losses in Defunct Tenant-in-Common Investment DBSI
4 Apr 2011, 9:02 am by JEccleston@ecclestonlaw.com (James J. Eccleston)
$39,000 Independent Financial Group LLC $36,000 Capital Management Securities Inc [read post]
FinancialCounsel - http://financialcounsel.typepad.com/financialcounsel/
Financial Institutions Fined for Discussing Deals and Trades Over Personal Apps
21 Nov 2022, 9:02 am by Jack Valladares
DWS Investment Management Americas, Inc. [read post]
Griffin Durham Tanner Clarkson LLC Blog - https://griffindurham.com/blog/
Financial Institutions Fined for Discussing Deals and Trades Over Personal Apps
28 Nov 2022, 9:02 am by Jack Valladares
DWS Investment Management Americas, Inc. [read post]
Griffin Durham Tanner Clarkson LLC Blog - https://griffindurham.com/blog/
Vitro, Madoff, Timothy Blixseth, Asbestos Case: Bankruptcy
11 May 2011, 6:51 am by Tomassi Law Associates
To retain top-level managers, Vitro also is proposing a bonus program. [read post]
Rhode Island Law Blog - http://blog.attorney-ri.com
Investor Fraud: Barred Michigan Investment Adviser is Accused of Defrauding Retirees of $2.7M and SEC Halts Alleged $345M Ponzi Scam That Bilked Seniors, Retail Investors, and Small Business Owners
20 Sep 2018, 2:27 pm by ccollins
Also facing SEC charges are Jezierski, Merrill, and Ledford’s numerous entities, including: Delmarva Capital, LLC LLC Rhino Capital Group, LLC Global Credit Recovery, LLC Riverwalk Financial Corporation Rhino Capital Holdings, DeVille Asset Management LTD The SEC wants disgorgement, prejudgment interest, and financial penalties. [read post]
Stock Broker Fraud Blog - https://www.investorlawyers.com/blog/
Broker-Dealers Face Claw-Back Lawsuits for Selling DBSI TIC Investments
16 Dec 2010, 8:46 am by JEccleston@ecclestonlaw.com (James J. Eccleston)
$39,000 Independent Financial Group LLC $36,000 Capital Management Securities Inc [read post]
FinancialCounsel - http://financialcounsel.typepad.com/financialcounsel/
eDiscovery Mergers, Acquisitions, and Investments in Q4 2021
1 Jan 2022, 8:20 am by Rob Robinson
(Investee)Capital Southwest Corporation in Recapitalization (Investor) 2-Jul-19QDiscoveryXact Data Discovery 19-Jun-19Text IQ (Investee)FirstMark Capital with Sierra Ventures (Investors)$12,600,000 17-Jun-19Elevate (Investee)Kayne Partners (Investor)$25,000,000 17-Jun-19Cellebrite (Investee)Israel Growth Partners (IGP) $110,000,000 12-Jun-19Infinnium (Investee)Sahajanand Group (Investor) 11-Jun-19Jordan LawrenceExterro 5-Jun-19Mindseye SolutionsReveal 3-Jun-19Onna (Investee)Series… [read post]
ComplexDiscovery - https://complexdiscovery.com/
eDiscovery Mergers, Acquisitions, and Investments in Q1 2020
29 Mar 2020, 7:56 am by Rob Robinson
Legal Support (eDiscovery and Computer Forensics Division)Business Intelligence Associates (BIA) 5-Dec-17HAYSTACK ID LLC (Investee)TCF Capital Funding (Support Of Knox Capital Holdings and Maranon Capital) in Recapitalization (Investor)$17.800,000 30-Nov-17E-STETEY 28-Nov-17AllegoryIntegreon 31-Oct-17Avalon Document Services (Merger)C:Dox (Merger) 23-Oct-17NexLP (Investment)Method Capital and Dundee Venture Capital (Investors)$3,000,000… [read post]
ComplexDiscovery - https://complexdiscovery.com/
eDiscovery Mergers, Acquisitions, and Investments in Q3 2021
1 Oct 2021, 8:52 am by Rob Robinson
(Investee)Capital Southwest Corporation in Recapitalization (Investor) 2-Jul-19QDiscoveryXact Data Discovery 19-Jun-19Text IQ (Investee)FirstMark Capital with Sierra Ventures (Investors)$12,600,000 17-Jun-19Elevate (Investee)Kayne Partners (Investor)$25,000,000 17-Jun-19Cellebrite (Investee)Israel Growth Partners (IGP) $110,000,000 12-Jun-19Infinnium (Investee)Sahajanand Group (Investor) 11-Jun-19Jordan LawrenceExterro 5-Jun-19Mindseye SolutionsReveal 3-Jun-19Onna (Investee)Series… [read post]
ComplexDiscovery - https://complexdiscovery.com/
An Abridged Look at the Business of eDiscovery: Mergers, Acquisitions, and Investments
13 Dec 2020, 3:25 am by Rob Robinson
(Investee)Capital Southwest Corporation in Recapitalization (Investor) 2-Jul-19QDiscoveryXact Data Discovery 19-Jun-19Text IQ (Investee)FirstMark Capital with Sierra Ventures (Investors)$12,600,000 17-Jun-19Elevate (Investee)Kayne Partners (Investor)$25,000,000 17-Jun-19Cellebrite (Investee)Israel Growth Partners (IGP) $110,000,000 12-Jun-19Infinnium (Investee)Sahajanand Group (Investor) 11-Jun-19Jordan LawrenceExterro 5-Jun-19Mindseye SolutionsReveal Data 3-Jun-19Onna… [read post]
ComplexDiscovery - https://complexdiscovery.com/
American Finance Trust (AFIN) Renames Itself “The Necessary Retail REIT” 
6 Jan 2022, 1:18 pm by The White Law Group
   Numerous AFIN shareholders have filed lawsuits involving AFIN, including class action lawsuits involving AFIN’s merger with another AR Global REIT, American Realty Capital – Retail Centers of America, in which the plaintiffs alleged that the company did not outline the possible negative impacts of the merger on the financial performance of the REIT in its registration statement. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
eDiscovery Mergers, Acquisitions, and Investments in Q2 2021
3 Jul 2021, 4:37 am by Rob Robinson
(Investee)Capital Southwest Corporation in Recapitalization (Investor) 2-Jul-19QDiscoveryXact Data Discovery 19-Jun-19Text IQ (Investee)FirstMark Capital with Sierra Ventures (Investors)$12,600,000 17-Jun-19Elevate (Investee)Kayne Partners (Investor)$25,000,000 17-Jun-19Cellebrite (Investee)Israel Growth Partners (IGP) $110,000,000 12-Jun-19Infinnium (Investee)Sahajanand Group (Investor) 11-Jun-19Jordan LawrenceExterro 5-Jun-19Mindseye SolutionsReveal 3-Jun-19Onna (Investee)Series… [read post]
ComplexDiscovery - https://complexdiscovery.com/
XDD Acquires Paralaw
28 Apr 2021, 8:57 am by Rob Robinson
About Stone Point Capital LLC Stone Point is an investment firm based in Greenwich, CT, with approximately $30 billion of assets under management. [read post]
ComplexDiscovery - https://complexdiscovery.com/
XDD Acquires Paralaw
28 Apr 2021, 9:40 am by Rob Robinson
About Stone Point Capital LLC Stone Point is an investment firm based in Greenwich, CT, with approximately $30 billion of assets under management. [read post]
ComplexDiscovery - https://complexdiscovery.com/
Ten Years of Say-on-Pay Data
9 Jun 2019, 8:19 am
Posted by Terry Newth and Dean Chaffee, Pearl Meyer & Partners, LLC, on Sunday, June 9, 2019 Editor's Note: Terry Newth is a managing director and Dean Chaffee is a consultant at Pearl Meyer & Partners, LLC. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
eDiscovery Mergers, Acquisitions, and Investments in Q1 2021
1 Apr 2021, 5:53 am by Rob Robinson
(Investee)Capital Southwest Corporation in Recapitalization (Investor) 2-Jul-19QDiscoveryXact Data Discovery 19-Jun-19Text IQ (Investee)FirstMark Capital with Sierra Ventures (Investors)$12,600,000 17-Jun-19Elevate (Investee)Kayne Partners (Investor)$25,000,000 17-Jun-19Cellebrite (Investee)Israel Growth Partners (IGP) $110,000,000 12-Jun-19Infinnium (Investee)Sahajanand Group (Investor) 11-Jun-19Jordan LawrenceExterro 5-Jun-19Mindseye SolutionsReveal 3-Jun-19Onna (Investee)Series… [read post]
ComplexDiscovery - https://complexdiscovery.com/