Search for: "Loop Capital Markets, LLC" Results 1 - 20 of 30
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14 Sep 2022, 10:10 am by Mark Astarita
The Securities and Exchange Commission today charged Chicago-based Loop Capital Markets, LLC for providing advice to a municipal entity without registering as a municipal advisor. [read post]
17 Feb 2012, 5:00 am by J Robert Brown Jr.
  The committee is intended to focus on the capital raising needs of companies with less than $250 million in market capitalization. [read post]
27 Feb 2020, 8:00 am by Staff Attorney
  By the day, advisor recommendations to do nothing appear to be completely self-serving, out of the loop, and not in the interest of the investor. [read post]
15 May 2020, 7:49 am by Staff Attorney
  From July 2015 until August 2018 Linsky was associated with Concorde Investment Services, LLC. [read post]
30 Dec 2019, 5:47 am by Staff Attorney
  By the day, advisor recommendations to do nothing appear to be completely self-serving, out of the loop, and not in the interest of the investor. [read post]
4 Feb 2016, 7:58 am by Mark Astarita
  Voting members of the committee, in addition to the co-chairs, are:Robert Aguilar, CFO and Chief Operating Officer, Cabrera Capital Markets LLC, ChicagoXavier Gutierrez, President and Chief Investment Officer, Meruelo Investment Partners, Downey, CaliforniaBrian Hahn, CFO, GlycoMimetics Inc., Rockville, MarylandKyle Hauptman, Executive Director of the Main Street Growth Project, Washington, D.C.Jenny Kassan, owner, Jenny Kassan Consulting, Fremont,… [read post]
1 Dec 2020, 11:48 am by Staff Attorney
Advisor Darrin Cohn (Cohn), currently employed by Triad Advisors LLC (Triad Advisors) has been subject to at least two customer complaints during the course of his career. [read post]
9 Feb 2018, 5:06 am
Stock Market Evaluation, Moon Shots, and Corporate Innovation Posted by Ming Dong (York University), David Hirshleifer (UC Irvine), and Siew Hong Teoh (UC Irvine), on Friday, February 2, 2018 Tags: Behavioral finance, Capital allocation, Capital formation, Firm valuation, Innovation, Long-Term value, Market efficiency, R&D, Risk-taking, Stock mispricing Compensation in the 2018 Proxy Season Posted by… [read post]
12 Aug 2015, 9:08 am by Adam Weinstein
Hart and Company – $100,000 Loop Capital Markets, LLC – $60,000 Martin Nelson & Co., Inc. [read post]
26 Dec 2019, 9:02 am by Staff Attorney
  By the day, advisor recommendations to do nothing appear to be completely self-serving, out of the loop, and not in the interest of the investor. [read post]
25 Jun 2015, 1:29 pm by D. Daxton White
Ziegler and Company Benchmark Securities Bernardi Securities BMO Capital Markets GKST BNY Mellon Capital Markets BOSC Central States Capital Markets Citigroup Global Markets City Securities Corporation Davenport & Company Dougherty & Co First National Capital Markets George K. [read post]
24 Mar 2020, 6:35 am by Staff Attorney
  Since July 2019 Roop has been registered with Dempsey Lord Smith, LLC out of the firm’s Belmont, North Carolina office location. [read post]
21 Jul 2021, 12:49 pm by Rob Robinson
Citigroup Global Markets, Inc. and Jefferies LLC are also acting as book-running managers for the offering, and Canaccord Genuity LLC, Cowen and Company, LLC, Needham & Company LLC, Stifel, Nicolaus & Company, Incorporated and Loop Capital Markets LLC are acting as co-managers for the offering. [read post]
29 Jul 2016, 6:03 am
Schwarcz, Duke University School of Law, on Monday, July 25, 2016 Tags: Agency costs, Business judgment rule, Capital markets, D&O insurance, Director liability, Financial crisis, Financial regulation, Incentives, Management, Moral hazard, Public interest, Risk committee, Risk oversight, Risk-taking, SIFIs,Systemic risk Delaware Court on LLC Managers’ Authority to Delegate Posted by David A. [read post]
25 Mar 2016, 6:00 am
Katzman, Fried, Frank, Harris, Shriver & Jacobson, LLP, onThursday, March 24, 2016 Tags: Compliance and disclosure interpretation, Director liability, Equity-based compensation, Exchange Act, Inside information, Insider trading, Investor protection, Liability standards, Management, Rule 10b-5-1, SEC, SEC enforcement,Section 10(b), Securities enforcement, Securities Regulation, Voluntary Disclosure Activist Investors, Cash, and Capital Allocation Posted by Paula Loop,… [read post]
1 Jul 2016, 6:11 am
Santori, Pillsbury Winthrop Shaw Pittman LLP, on Friday, June 24, 2016 Tags: Banks, Bitcoin, Blockchain, Capital markets, Clearing houses, Delaware law, Financial regulation, Financial technology, Intermediaries, IPOs, Market efficiency, Securities regulation, State law Brexit: Legal Implications Posted by Ben Perry, Sullivan & Cromwell LLP, on Friday, June 24, 2016 Tags: Banks, Brexit, Contracts, EU, Europe, Financial institutions, Financial regulation, Foreign… [read post]
28 Oct 2016, 1:00 am
Overcoming Selection Bias Posted by Alexander Vedrashko, Simon Fraser University, on Sunday, October 23, 2016 Tags: Behavioral finance, Capital markets, Dividends, Earnings announcements, Earnings disclosure, Firm performance,Information environment, Market efficiency, Market reaction, Market timing, Merger announcements, Repurchases Can Business Help Fix Our Broken Politics? [read post]
27 May 2016, 6:12 am
Halper, Orrick, Herrington & Sutcliffe LLP, on Monday, May 23, 2016 Tags: Business judgment rule, Controlling shareholders, Delaware cases, Delaware law, Dual-class stock, Fairness review, Fiduciary duties, Going private, Merger litigation, Mergers & acquisitions, Minority shareholders, New York,Shareholder suits, State law SEC Monitoring of Foreign Firms’ Disclosures Posted by James Naughton, Northwestern University, on Tuesday, May 24, 2016 Tags: Capital… [read post]
6 Nov 2020, 6:30 am
Feldman, Olshan Frome Wolosky LLP, on Thursday, November 5, 2020 Tags: Broker-dealers, Capital formation, Capital markets, Institutional Investors, Investor protection, Private equity, SEC, Securities regulation, Solicitation, Venture capital firms Where Do Institutional Investors Seek Shelter when Disaster Strikes? [read post]