Search for: "Loop Capital Markets, LLC"
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10 Jan 2023, 7:39 am
” To learn more, see about our investigation on GWG L Bonds please see: GWG Holdings * GWG L Bonds * Investor Lawsuits for Recovery Further, Loop Capital Markets was charged under the Violating Municipal Advisor Registration Rule, for advising a municipal entity without registering as a municipal advisor, according to the article. [read post]
14 Sep 2022, 10:10 am
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]
12 Apr 2022, 1:34 pm
Nessim Mezrahi is co-founder and CEO at SAR LLC. [read post]
21 Jul 2021, 12:49 pm
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]
28 Mar 2021, 2:11 am
For example, CSI has facilities located at 12515-3 Research Park Loop, Austin, TX 78759. [read post]
1 Dec 2020, 11:48 am
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]
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]
17 Jul 2020, 5:51 am
Capital Markets to Promote Economic Growth Posted by Hal S. [read post]
15 May 2020, 7:49 am
From July 2015 until August 2018 Linsky was associated with Concorde Investment Services, LLC. [read post]
24 Mar 2020, 6:35 am
Since July 2019 Roop has been registered with Dempsey Lord Smith, LLC out of the firm’s Belmont, North Carolina office location. [read post]
27 Feb 2020, 8:00 am
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]
30 Dec 2019, 5:47 am
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]
26 Dec 2019, 9:02 am
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]
30 Sep 2019, 12:44 pm
Shipman Associates, LLC (here). [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]
2 Feb 2018, 6:10 am
Rosenblum, and Victor Goldfeld, Wachtell, Lipton, Rosen & Katz, on Monday, January 29, 2018 Tags: Antitrust, Appraisal rights, Banks, China, Cross-border transactions, Financial institutions, International governance, Merger litigation, Mergers & acquisitions, Private equity, Shareholder activism, Tax Cuts and Jobs Act, Taxation, Tech companies Preparing a Successful IPO in 2018 Posted by Philip Oettinger and… [read post]
3 Nov 2017, 6:02 am
., on Saturday, October 28, 2017 Tags: Equity-based compensation, Incentives, Pay for performance, Performance measures, Say on pay, Shareholder value, TSR A Mechanism for LIBOR Posted by Brian Coulter (Western University), Joel Shapiro (University of Oxford), and Peter Zimmerman (University of Oxford), on Sunday, October 29, 2017 Tags: Banks, Benchmarks, Cross-border transactions, Derivatives, Financial… [read post]
9 Jun 2017, 6:06 am
Posted by Ira Kay, Pay Governance LLC, on Tuesday, June 6, 2017 Tags: Accounting, Capital markets, Executive Compensation, Financial reporting, Firm performance, GAAP, Incentives, ISS, Long-Term value, Management, Pay for performance, Performance measures, Proxy advisors, Shareholder value, TSR The Failure of Federal Incorporation Law: A Public Choice Perspective Posted by Sung Hui Kim,… [read post]
10 Mar 2017, 6:09 am
Securities and Exchange Commission, on Friday, March 3, 2017 Tags: Capital formation, Crowdfunding, Equity offerings, FINRA, Investor protection, JOBS Act, Retail investors, SEC, Securities regulation, Small firms, Tech companies Alternatives to Quantitative Metrics in Performance Share Plans Posted by Lane T. [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]
