Search for: "Vanderbilt Capital Advisors, LLC" Results 1 - 11 of 11
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14 Apr 2023, 9:58 am by Silver Law Group
According to FINRA Disciplinary actions for March 2023, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS   John Carroll   Vanderbilt Securities, LLC   National Securities Corporation   Jamie Worden   Worden Capital Management LLC   Salomon Whitney LLC Brokers and brokerage firms are obligated to… [read post]
19 Aug 2022, 9:37 am by Silver Law Group
  Arive Capital Markets   Robert Haas   Wells Fargo Clearing Services, LLC   Wells Fargo Advisors, LLC   Christopher Johnson   Morgan Stanley   UBS Financial Services Inc. [read post]
5 Mar 2019, 10:03 am by ccollins
Triad Advisors, LLC Uhlmann Price Securities, LLC United Planners’ Financial Services of America, LP Vanderbilt Securities, LLC Vestech Securities, Inc. [read post]
6 Aug 2021, 6:00 am
Epstein (Third Creek Advisors LLC), Robert Lamm (Deloitte LLP), and Jim Parkin (Deloitte & Touche LLP), on Friday, July 30, 2021 Tags: Board composition, Board dynamics, Board oversight, Board performance, Boards of Directors, Small firms Five Elements of Activist Stewardship: Insights from Two Letters Posted by Robert G. [read post]
9 Feb 2018, 5:06 am
Edelman (Vanderbilt University), Wei Jiang (Columbia University), and Randall S. [read post]
3 Nov 2017, 6:02 am
Fisch (University of Pennsylvania), Darius Palia (Rutgers Business School), and Steven Davidoff Solomon (University of California, Berkeley), on Monday, October 30, 2017 Tags: Dodd-Frank Act, Equity-based compensation, Executive Compensation, Executive performance, Firm performance, Incentives, Pay for performance, Proxy advisors, Risk-taking, Say on pay, Shareholder voting, Short-termism Creatures of Contract: A… [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]
25 Oct 2019, 6:31 am
Morris, Barr Law Group, on Sunday, October 20, 2019 Tags: Accountability, Institutional Investors, Investment advisers, JPMorgan, Liability standards, Misconduct, Mutual funds, Risk, Securities litigation Filing Thresholds and Main Street Investors Posted by Christine Jantz, Jantz Management LLC, on Monday, October 21, 2019 Tags: Boards of Directors, Engagement, Ownership, Retail investors, Rule… [read post]
9 Jul 2021, 5:50 am
Schloetzer (Georgetown University), and Francine McKenna (American University), on Wednesday, July 7, 2021 Tags: Boards of Directors, COVID-19, Diversity, Executive turnover, Firm performance, Management, Manager characteristics, Succession Indirect Investor Protection Posted by Holger Spamann (Harvard Law School), on Wednesday, July 7, 2021 Tags: Capital markets, Information asymmetries, Information… [read post]
23 Oct 2020, 3:00 am by Jim Sedor
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]