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10 Jun 2023, 6:00 am
Officials did not develop and manage a comprehensive investment program or develop procedures for the operation of the investment program in compliance with the board investment policy. [read post]
7 Jun 2023, 8:52 am
His previous employers included Spartan Capital Securities, LLC (CRD# 146251) of New York, NY, Western International Securities, Inc. [read post]
7 Jun 2023, 7:29 am
“Inc. [read post]
6 Jun 2023, 8:38 am
Every one of these discussions focused on partnership cash flows—basically, the receipts and disbursements from the normal course of operations, investment income, capital expenditures, and other significant cash items. [read post]
6 Jun 2023, 7:49 am
Cohen’s other business activities reportedly include Eqis Capital Management, according to his BrokerCheck report. [read post]
2 Jun 2023, 6:30 am
Eccles (Oxford University) and Eli Lehrer (R Street Institute), on Monday, May 29, 2023 Tags: anti-ESG, Climate change, ESG, Fiduciary duties, legislation, Monetary policy Disloyal Managers and Shareholders’ Wealth Posted by Eliezer M. [read post]
2 Jun 2023, 6:30 am
Eccles (Oxford University) and Eli Lehrer (R Street Institute), on Monday, May 29, 2023 Tags: anti-ESG, Climate change, ESG, Fiduciary duties, legislation, Monetary policy Disloyal Managers and Shareholders’ Wealth Posted by Eliezer M. [read post]
26 May 2023, 6:30 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, May 26, 2023 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of May 19-25, 2023 Investment Stewardship 2022 Annual Report Posted by John Galloway, Vanguard, Inc., on Friday, May 19, 2023 Tags: Board of Directors, Executive Compensation, Investment Stewardship, Risk, Shareholder activism, strategy Remarks by Chair Gensler before the… [read post]
26 May 2023, 6:30 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, May 26, 2023 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of May 19-25, 2023 Investment Stewardship 2022 Annual Report Posted by John Galloway, Vanguard, Inc., on Friday, May 19, 2023 Tags: Board of Directors, Executive Compensation, Investment Stewardship, Risk, Shareholder activism, strategy Remarks by Chair Gensler before the… [read post]
17 May 2023, 12:30 pm
Jensen was reportedly affiliated with Tembion Capital Management in Santa Fe, New Mexico from 2012 until 2022. [read post]
17 May 2023, 11:30 am
The Mass. broker was also registered as an investment advisor with Capital Planning Group of Massachusetts, Inc. [read post]
16 May 2023, 8:21 am
On April 6, 2023, BlackRock filed schedules for MetLife, Inc., Apollo Global Management, Inc., Packaging Corporation of America, POSCO Holdings Inc., Via Renewables, Inc. and WestRock Company. [read post]
11 May 2023, 12:36 pm
HSBC Securities Inc and Scotia Capital have agreed to pay $15 million and $7.5 million, respectively, to settle charges with the SEC. [read post]
10 May 2023, 9:01 pm
Where the deal went forward, that often resulted in less available capital. [read post]
10 May 2023, 9:59 am
(BRG), and MacKenzie Realty Capital, Inc. [read post]
9 May 2023, 9:01 pm
First, the rule allows voting stockholders to make their own ad hoc choice of nominees from the slates proposed by management, on one hand, and by the nominating stockholder, on the other. [read post]
6 May 2023, 2:49 pm
AMC’s surging stock price made it possible for management to consider a stock offering to raise equity capital, the proceeds of which could be used to retire debt and enable the company to avoid bankruptcy. [read post]
5 May 2023, 9:32 am
In Highland Capital v. [read post]
5 May 2023, 7:48 am
Richard Logalbo Cetera Investment Services LLC MML Investors Services, LLC Harold Ramsey Paulson Investment Company LLC Spartan Capital Securities, LLC Michael Rosalia SW Financial Worden Capital Management LLC Dana Vietor CFD Investments, Inc. [read post]
5 May 2023, 4:00 am
Equally so, is the new company’s likelihood of becoming larger again, perhaps by being acquired or, with Oakley Capital’s and Bain Capital Credit’s financial capabilities, taking another step forward with a significant and necessary merger or purchase; there are several likely but expensive targets. [read post]