Search for: "Principal Global Investors, LLC"
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22 Apr 2024, 1:11 pm
Indeed, according to EY’s newly released “Global IPO Trends Q1 2024” report, approximately ten private equity-backed IPOs came to market in Q1 2024, five of which were among the top ten global IPOs. [1] Additionally, the median deal size of private equity-backed IPOs in 2024 surpassed those listed in the same period last year by 26%.[2] This is good news for private funds and their limited partners because high interest rates and market instability have curtailed… [read post]
1 Feb 2024, 9:08 am
This is expected to continue, as the global art market continues to grow, and as more opportunities for individual investors to get in on the action arise. [read post]
28 Dec 2023, 9:05 pm
Frederique Welgryn, Perrigo’s Global Vice President for Women’s Health, called FDA’s approval “a groundbreaking expansion for women’s health” in the United States. [read post]
8 Nov 2023, 10:14 pm
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
8 Sep 2023, 12:51 pm
Between May 2019 and December 2019, Hoffman allegedly advised clients to invest in Zima Global Ventures, LLC, a company claiming to trade cryptocurrencies and digital assets for profit. [read post]
21 Aug 2023, 9:42 am
The cash flows generated from the underlying mortgage payments, including principal and interest, are distributed to the investors in the form of regular interest payments. [read post]
28 Jul 2023, 1:02 pm
” In total, investors in the Ponzi scheme were owed over $110,000,000 in principal. [read post]
11 May 2023, 9:01 pm
In the last couple of decades, certain market participants, including principal trading firms (PTFs), started participating significantly in the Treasury markets. [read post]
2 Apr 2023, 6:00 am
The eDiscovery ecosystem has experienced varying levels of M&A+I activity over the years, with noticeable trends influenced by global economic factors, such as the financial crisis and the COVID-19 pandemic. [read post]
29 Mar 2023, 11:34 am
His prior employers include Arive Capital Markets (CRD#:8060) of Ronkonkoma, NY, First Standard Financial Company, LLC (CRD#:168340) of Garden City, NY, and Rockwell Global Capital LLC (CRD#:142485) of Melville, NY. [read post]
22 Jan 2023, 6:59 pm
See also footnote 282 (noting that notice given to a retained lawyer-agent may be viewed as notice to the client principal, but the cases do not support imputing scienter from a lawyer to a client). [read post]
3 Nov 2022, 11:00 pm
In some circumstances, foreign investors even have tax benefits (compared to local investors) for trading credits that are documented in the form of securities. [read post]
25 Oct 2022, 10:46 am
Chicago Crypto Capital LLC et al In the Northern District of Illinois, the SEC has brought a civil action against Chicago Crypto Capital LLC (“Chicago Crypto”), its president and sole owner Brian B. [read post]
13 Oct 2022, 1:55 pm
Mezrahi is co-founder and CEO and Sigrist is Vice President of Data Science at SAR LLC. [read post]
18 Aug 2022, 5:21 am
Northstar Financial Services (Bermuda) Ltd., an insurance company based in Bermuda, reportedly offered insurance products as well as other fixed and variable-rate annuity type investments, such as the following: Global Index Product Global Interest Accumulator Global Advantage Plus Series Global VIP Elite Global Advantage Select These products have reportedly been sold through U.S. registered… [read post]
27 Jul 2022, 5:07 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
1 Jul 2022, 1:57 pm
(Merger) (Combined Company Now Rampiva Global LLC) 29-Sep-20Acuity ELMMitratech 28-Sep-20GlobanetVeritas 8-Sep-20HaiveAyfie 3-Sep-20IntegroInnovative Discovery 19-Aug-20Venio Systems (Investee)Software Growth Partners (Investor) 13-Aug-20CaseLinesThomson Reuters 11-Aug-20NexLPReveal 5-Aug-20AnexsysXact Data Discovery 4-Aug-20NightOwl Global (Merger)HaystackID (Merger) 31-Jul-20Tracker CorpMitratech 14-Jul-20LightSpeedXact Data Discovery 8-Jul-20RVMXact Data… [read post]
8 Jun 2022, 9:01 pm
It provides investors important pre-trade transparency. [read post]
20 May 2022, 8:18 am
East West Bank referred her to a financial adviser who worked for Cetera Investment Services LLC. [read post]
7 Apr 2022, 3:17 pm
Out of 95 global banks that responded to a Moody’s Investors Service survey, about two-thirds said they notified their boards of directors about a cyber event during the 12-month period that ended in April 2021. [read post]
