Search for: "Advisory Group Equity Services Ltd."
Results 1 - 20
of 65
Sort by Relevance
|
Sort by Date
7 Feb 2024, 9:10 am
Advisory Group Equity Services – FINRA Claims According to D. [read post]
18 Dec 2023, 2:48 pm
His experience and expertise in the field will greatly contribute to the success and growth of our Funds practice group. [read post]
15 Nov 2023, 6:26 am
For example: Twenty-five advisory firms, broker-dealers, and/or credit rating agencies, including Wells Fargo, HSBC, and Scotia Capital, agreed to pay combined civil penalties totaling more than $400 million to settle charges that they violated the recordkeeping requirements of the federal securities laws; and ABB Ltd., a global technology company, agreed to pay a $75 million civil penalty to resolve charges arising out of an alleged bribery scheme. [read post]
14 Nov 2023, 9:01 pm
For example: Twenty-five advisory firms, broker-dealers, and/or credit rating agencies, including Wells Fargo, HSBC, and Scotia Capital, agreed to pay combined civil penalties totaling more than $400 million to settle charges that they violated the recordkeeping requirements of the federal securities laws; and ABB Ltd., a global technology company, agreed to pay a $75 million civil penalty to resolve charges arising out of an alleged bribery scheme. [read post]
20 Sep 2023, 2:10 am
Among this group, 14 million (5.5%) suffer from a Serious Mental Illness (SMI). [read post]
20 Sep 2023, 2:10 am
Among this group, 14 million (5.5%) suffer from a Serious Mental Illness (SMI). [read post]
2 Apr 2023, 6:00 am
Year - Q123 Presentation Slides: Market Kinetics – Investing – Q1 2023 (PDF) – Mouseover to Scroll 0 - Investments - 040223 - Update M&A+I Events (Running Listing: November 2001 – Today) Index: eDiscovery Mergers, Acquisitions, and Investments Event DateAcquired (Investee)Acquirer (Investor)Amount (Estimated $) 20-March-2023Teris, Elijah, Meta-e, and ModusRepario (JLL Partners)Strategic Partnership Between Repario Leadership Team and JLL Partners… [read post]
9 Feb 2023, 9:05 pm
Recently, 21 state attorneys general sent a letter to proxy advisory firms Institutional Shareholder Services (ISS) and Glass Lewis asserting that these firms may be violating their contracts with the states’ investment vehicles and federal and state laws by adopting voting policies and making voting recommendations that take into consideration climate change and DEI matters. [read post]
23 Dec 2022, 8:27 pm
Ages Financial Services, LTD. [read post]
1 Jul 2022, 1:57 pm
. (+) 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]
3 Jun 2022, 10:03 am
This blog post summarizes some of the significant decisions grouped by the hot topics below. [read post]
1 Apr 2022, 12:16 pm
Announced as completed on December 14, 2021 1-December-21Simplex Services, inc.Epiq 23-November-21KLDiscovery (IPO Filing)IPO (Exchange TBD)Note: Filed Form S-1 with SEC for IPO. 11-November-21Modus (Investee)J.P. [read post]
14 Feb 2022, 3:42 am
The advisory also includes recommendations for mitigation tactics to reduce risk of compromised systems. [read post]
11 Jan 2022, 7:10 am
Month - Through 2021 M&A+I Events (Running Listing: November 2001 – Today) Index: eDiscovery Mergers, Acquisitions, and Investments Event DateAcquired (Investee)Acquirer (Investor)Amount (Estimated $) 16-December-21GoldMindEmpire Technologies Risk Management Group 16-December-21ContinuityMitratech 14-December-21LegilityConsilioNote: Reported in Moody's Investor Service Announcement on November 12, 2021. [read post]
1 Jan 2022, 8:20 am
Announced as completed on December 14, 2021 1-December-21Simplex Services, inc.Epiq 23-November-21KLDiscovery (IPO Filing)IPO (Exchange TBD)Note: Filed Form S-1 with SEC for IPO. 11-November-21Modus (Investee)J.P. [read post]
29 Dec 2021, 12:00 pm
In Australia, only 62 percent of mining, 50 percent of financial services, and 57 percent of the construction sector state that they report in line with the Taskforce for Climate-related Financial Disclosures (TCFD) recommendations that have been endorsed by Australian regulators. [9] Regulators The regulators ha [read post]
1 Oct 2021, 8:52 am
Court Reporting Business (Divestiture)Veritext Legal Solutions 11-Feb-19Propulse VideoTransPerfect 11-Feb-19QUiVX eDiscoveryXact Data Discovery 7-Feb-19Luminance (Investee)Invoke Capital, Talis Capital, and Slaughter and May (Investors)$10,000,000 31-Jan-19Catalyst Repository SystemsOpenText$75,000,000 25-Jan-19Cognatio LawElevate 24-Jan-19DISCO (Investee)Georgian Partners, Bessemer Venture Partners, LiveOak Venture Partner, The Stephens Group, Comerica (Investors)$83,000,000 21-Jan-19Yerra… [read post]
30 Aug 2021, 8:46 am
Interest and experience in promoting diversity, equity and inclusion in the workplace. [read post]
3 Jul 2021, 4:37 am
Court Reporting Business (Divestiture)Veritext Legal Solutions 11-Feb-19Propulse VideoTransPerfect 11-Feb-19QUiVX eDiscoveryXact Data Discovery 7-Feb-19Luminance (Investee)Invoke Capital, Talis Capital, and Slaughter and May (Investors)$10,000,000 31-Jan-19Catalyst Repository SystemsOpenText$75,000,000 25-Jan-19Cognatio LawElevate 24-Jan-19DISCO (Investee)Georgian Partners, Bessemer Venture Partners, LiveOak Venture Partner, The Stephens Group, Comerica (Investors)$83,000,000 21-Jan-19Yerra… [read post]
7 May 2021, 4:10 am
Lemoine, Advisory Group Equity Services, Ltd., TAG Group, Inc., and Trust Advisory Group, Ltd. [read post]
