Search for: "JAY R. GOULD"
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29 Nov 2011, 9:03 am
Written by Jay Gould On November 28, 2011, the SEC charged OMNI Investment Advisors, Inc. of Utah, Feltl & Company Inc. of Minneapolis and Asset Advisors LLC of Troy, Michigan for failing to adopt and implement compliance procedures designed to prevent securities law violations. [read post]
9 Aug 2013, 9:30 am
by Jay B. [read post]
18 Nov 2011, 2:17 pm
Written by Jay Gould On Wednesday, November 16, 2011, the SEC charged Morgan Stanley Investment Management (“MSIM”) with violating securities laws in a fee arrangement that costs a fund and its investors approximately $1.8 million in sub-adviser fees. [read post]
13 Oct 2011, 4:48 pm
Written by Jay B. [read post]
9 Jan 2012, 2:54 pm
Written by Jay Gould, Ildiko Duckor and Peter Chess On January 4, 2012, the Securities and Exchange Commission (SEC) released a National Examination Risk Alert addressing investment adviser use of social media. [read post]
30 Jan 2017, 4:22 am
This Way to Financial Services ReformBy Jay B. [read post]
8 Mar 2011, 12:56 pm
Written by Jay Gould and Michael Wu Pillsbury’s Investment Fund and Investment Management group recently submitted a comment letter to the California Corporations Commissioner (the “Commissioner”) on behalf of the private investment fund industry. [read post]
11 Apr 2015, 1:45 pm
"'We brontophiles have been defeated,' Stephen Jay Gould wrote mournfully, in 1991. 'They have won. [read post]
27 Oct 2011, 11:02 am
Written by Jay Gould On October 26, 2011, the SEC adopted a new rule requiring SEC-registered advisers to hedge funds and other private funds with at least $150 million in private fund assets under management to report information to the Financial Stability Oversight Council (“FSOC”) to enable it to monitor risk to the U.S. financial system. [read post]
28 Aug 2013, 9:51 am
Written by: Jay B. [read post]
11 Mar 2013, 9:46 am
Written by: Jay Gould and Michael Wu Last week the SEC issued a Risk Alert and an Investor Bulletin on the Custody Rule after its National Examination Program ("NEP") observed significant deficiencies in recent examinations involving custody and safety of client assets by registered investment advisers. [read post]
22 Dec 2014, 12:13 pm
Jay B. [read post]
24 Apr 2008, 9:56 am
I'm sure a battalion of eager young doctoral candidates could tear it to shreds and indeed I can spot a few shortcomings myself (we know a lot more today, for example, about Jay Gould, and about August Belmont's relationship to the Rothschilds). [read post]
1 Oct 2016, 6:51 am
. 'He Was Game to Be a Huck Finn — but Not a Little Lord Fauntleroy,' declared one headline, atop an article that appeared in many American newspapers in 1935, adding: 'Balmy and British, Bermuda palled on this 8-year-old great-grandson of Jay Gould — until, penniless, he stowed away for New York and won the right to be raised as a Yankee.'"From the obituary of Carroll L. [read post]
28 Jun 2013, 8:03 am
Performance Fantasies Lead to SEC Enforcement Action by Jay B. [read post]
7 Feb 2014, 1:15 pm
Gould and Jessica M. [read post]
30 Jun 2011, 11:42 am
Written by Jay Gould and Michael Wu On June 22, 2011, the Securities and Exchange Commission (SEC) adopted final rules that implement provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) amending the Investment Advisers Act of 1940 (the “Advisers Act”). [read post]
8 May 2012, 10:55 am
Written by: Jay B. [read post]
30 Oct 2013, 10:57 am
Partner Jay Gould, leader of Pillsbury's Investment Funds & Investment Management practice team, accepted the award on behalf of the Investment Funds & Investment Management team. [read post]
18 Jul 2012, 1:15 pm
Bill Epstein, Charlie Gaglia, George Gould, David De Lorenzi, Sheila McShane, Hain Swope, Estelle Tsevdos, Lisa Wang, Charles Chevalier, Jay Cahill and Jillian Centanni, among others, bring diverse and deep industry and legal experience to the firm’s IP practice, with vast acumen in handling issues from IP clearance, procurement to enforcement, monetization and litigation. [read post]
