Search for: "Smith, Frank and Partners, LLC"
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15 Nov 2023, 6:26 am
LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC. [read post]
14 Nov 2023, 9:01 pm
LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC. [read post]
9 Dec 2022, 3:00 am
They are among the first known subpoenas issued by Smith, who was named to oversee the U.S. [read post]
8 Sep 2022, 5:35 am
., LLC, 994 F.3d 1328, 1335 (11th Cir. 2021) (reading Shiles narrowly). [7]. [read post]
22 Feb 2022, 12:09 pm
Ian Ha Infinity Financial Services AXA Advisors, LLC Ikea Huggins Narith Long NYLife Securities LLC Northwestern Mutual Investment Services, LLC Frank Mathis Fidelity Brokerage Services LLC TD Ameritrade, Inc. [read post]
27 Dec 2021, 9:38 am
Wells Fargo Clearing Services, LLC Frank Mathis Fidelity Brokerage Services LLCV TD Ameritrade, Inc. [read post]
15 Nov 2021, 10:39 am
See e.g., In the Matter of Morgan Stanley Smith Barney LLC, Investment Advisers Act Rel. [read post]
15 Nov 2021, 10:39 am
See e.g., In the Matter of Morgan Stanley Smith Barney LLC, Investment Advisers Act Rel. [read post]
16 Apr 2021, 8:43 am
Kassie Smith QC, counsel for several retailers seeking damages from Visa and Mastercard, told the tribunal Monday that her Italian clients are entitled to choose English law to govern their lawsuits. [read post]
22 Feb 2021, 3:00 am
Back in the 1950s, Joe and his partners (of whom Frank Smith was indisputably the greatest) didn’t have to worry about niceties like Miranda warnings. [read post]
12 Feb 2021, 5:57 am
Rosenberg, Fried, Frank, Harris, Shriver & Jacobson LLP, on Friday, February 5, 2021 Tags: Disclosure, Form ADV, No-action letters, SEC, SEC enforcement, SEC rulemaking, Securities enforcement, Securities regulation, Solicitation Incentive Design Changes in Response to COVID-19: Russell 3000 Posted by Justin Beck and Felipe Rubio, Semler Brossy Consulting Group LLC, on Friday, February 5, 2021 … [read post]
23 Oct 2020, 8:03 am
Deependra Logani Morgan Stanley Smith Barney LLC Santander Securities LLC Anthony Mastroianni Jr. [read post]
23 Oct 2020, 3:00 am
The Chinese account is controlled by Trump International Hotels Management LLC, which records show paid $188,561 in taxes in China while pursuing licensing deals there from 2013 to 2015. [read post]
22 Nov 2019, 5:51 am
Smith, EY Center for Board Matters, on Friday, November 15, 2019 Tags: Boards of Directors, Corporate culture, Corporate Social Responsibility, Disclosure, Diversity, ESG, Human capital, SEC, Securities regulation JV Directors Duty of Loyalty Posted by Meghan McGovern, Tracy Branding, and James Bamford, Water Street Partners LLC, on Saturday, November 16, 2019 Tags: Boards of Directors, Conflicts of… [read post]
26 Apr 2019, 5:55 am
Smith (EY Center for Board Matters) and Joe Dettmann (Ernst & Young LLP), on Wednesday, April 24, 2019 Tags: Accountability, Board oversight, Boards of Directors, Corporate culture, Human capital, Management, Oversight, Stakeholders Claims Based on Warranty and Indemnity Liability (W&I) Policies Posted by Joseph A. [read post]
25 Nov 2018, 4:29 pm
The BBC has a news story about the recent case of Doyle v Smith entitled “Caddington Village News blogger sued for libel over fraud claims” Lexisnexis has conducted an interview of Brett Wilson Managing Partner Ian Wilson discussing the issues around using parliamentary privilege to undermine injunctions, using the recent incident involving Lord Hain as a case study. [read post]
18 May 2018, 6:01 am
Huennekens, and Jamie Smith, EY Center for Board Matters, on Monday, May 14, 2018 Tags: Board composition, Board independence, Board tenure, Boards of Directors, Director qualifications, Director tenure, Disclosure, Diversity The Demand Review Committee: How it Works, and How it Could Work Better Posted by Justice Collins J. [read post]
6 Apr 2018, 6:08 am
Fontaine, Corporate Risk Holdings LLC, and John Reed Stark, John Reed Stark Consulting LLC, on Saturday, March 31, 2018 Tags: Boards of Directors, Cybersecurity, Disclosure, Financial reporting, Risk, Risk management, Risk oversight, SEC, SEC enforcement, Securities enforcement, Securities regulation Do Director Networks Improve Managerial Learning from Stock Prices? [read post]
14 Feb 2018, 2:57 pm
Here, the SEC instituted proceedings against Tilton and her Patriarch Partners firms in March of 2015, alleging that she and her firms hid the poor performance of the companies that she’d invested in. [read post]
29 Sep 2016, 11:24 am
Frank, who also agreed to settle the charges. [read post]
