Search for: "Equity Trust Co"
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5 Jun 2023, 1:02 pm
AMC had a blank check preferred stock provision in its articles of incorporation, which the board of directors used to create AMC Preferred Equity units. [read post]
1 Jun 2023, 9:45 pm
When Retirees Are Targeted By Brokers in Ponzi Scams Oppenheimer Must Pay Almost $14M Related to A$110M Scheme Run By Former Financial Advisor John Woods A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Oppenheimer & Co. to pay five Florida retirees and two trusts nearly $14M in losses they sustained in the $110M Horizon Private Equity III Ponzi scam run by its former Atlanta broker John J. [read post]
29 May 2023, 8:48 pm
Thomson’s complaint asserted claims against WH, WHA, and his five former partners seeking an accounting of both firms and for conversion, constructive trust, unjust enrichment, and breach of fiduciary duty. [read post]
18 May 2023, 5:16 am
Not long after, on Aug. 17, the board of United Co. [read post]
10 May 2023, 4:00 am
Periodically on Thursdays, we present a significant excerpt, usually from a recently published book or journal article. [read post]
9 May 2023, 11:17 am
With the wave of news surrounding due diligence company crackdowns in China, with Mintz Group and Bain & Co. as the highest profile targets to date (see here and here), a reporter reached out to inquire how legal practitioners are dealing with this diminished access. [read post]
6 May 2023, 2:49 pm
The preferred shares underlying the APEs are held by a depositary, Computershare Trust Co., which has agreed to vote all of the preferred shares in proportion to how any voting APEs vote. [read post]
5 May 2023, 6:30 am
Securities and Exchange Commission, on Saturday, April 29, 2023 Tags: Accounting standards, Capital markets, corporate disclosure, ESG, EU, SEC enforcement Trust Survey: key findings and lessons for business executives Posted by Wes Bricker, Kathryn Kaminsky and Kathy Neiland, PricewaterhouseCoopers LLP, on Sunday, April 30, 2023 Tags: Board of Directors, Corporate culture, Employees, Executive Compensation, Stakeholders, Trust Accounting for Bank Failure Posted by Prasad… [read post]
5 May 2023, 6:30 am
Securities and Exchange Commission, on Saturday, April 29, 2023 Tags: Accounting standards, Capital markets, corporate disclosure, ESG, EU, SEC enforcement Trust Survey: key findings and lessons for business executives Posted by Wes Bricker, Kathryn Kaminsky and Kathy Neiland, PricewaterhouseCoopers LLP, on Sunday, April 30, 2023 Tags: Board of Directors, Corporate culture, Employees, Executive Compensation, Stakeholders, Trust Accounting for Bank Failure Posted by Prasad… [read post]
4 May 2023, 7:46 am
Stifel agreed to pay in customer restitution to those clients who were charged more than 5% commissions on equity transactions. [read post]
28 Apr 2023, 10:00 am
Partitions are lawsuits that split up the property between multiple co-owners so that each can take their equity out of the home. [read post]
13 Apr 2023, 10:51 pm
The full media release can be accessed here and the full report can be found here. 8 ASIC consults on remaking ‘sunsetting’ class orders on IDPS and IDPS-like schemes On 28 March 2023, ASIC announced it was seeking feedback from operators of investor directed portfolio services (IDPS) on proposals to remake the following class orders: Class Order [CO 13/762] Investor directed portfolio services provided through a registered managed investment scheme; and Class Order… [read post]
10 Apr 2023, 6:33 am
The heirs never signed the loan, so they might insist that the property be sold so they can get their equity. [read post]
27 Mar 2023, 9:01 pm
Although the number of securities lawsuits filed this year remained steady compared to 2021, we have seen many notable developments in securities law. [read post]
24 Mar 2023, 9:02 am
In 2007, the SEC charged Fife with violating the antifraud provisions of the Exchange Act by participating in an annuity market timing scheme; Fife settled the action.In 2011, Fife became one of the two primary customers of broker-dealer Gordon & Co.; a family trust associated with Fife became a 12.5 percent holder of Gordon’s nonvoting shares. [read post]
10 Mar 2023, 2:52 pm
” Foundation leaders need to hold each other accountable for ensuring their organizations maintain the highest ethical standards” A Set of Ethical Principles Can Help Philanthropy Regain Public Trust in the Field Stanford Social Innovation Review: Is it possible to recuperate the public’s trust in #philanthropy? [read post]
20 Feb 2023, 4:46 am
This year’s collection features a relatively rare example of a court awarding punitive damages against a company controller for breach of fiduciary duty; a decision denying enforcement of allegedly promised “equity” in an LLC; and a decision dismissing untimely fraud claims against co-members of a realty holding LLC. [read post]
17 Feb 2023, 3:00 am
National/Federal After Helping Prince’s Rise, Trump and Kushner Benefit from Saudi FundsMSN – Michael Kranish (Washington Post) | Published: 2/11/2023 The day after leaving the White House, Jared Kushner created a company he transformed months later into a private equity firm with $2 billion from a sovereign wealth fund chaired by Saudi Crown Prince Mohammed bin Salman. [read post]
31 Jan 2023, 2:27 pm
Chupp, “A Sword in the Bed”: Bringing an End to the Fusion of Law and Equity, 98 Notre Dame L. [read post]
28 Jan 2023, 7:32 am
Pix Credit hereESG, has been driven by the private sector and intensely debated in the context of privately ordered responsible business conduct standards, and formed part of a rich debates among market actors and public international organizations about the role and nature of so-called non-financial siclosure in genmeral, and sustainability and climate related factors in decision making. [read post]
