Search for: "WALTER INVESTMENT MANAGEMENT CORPORATION"
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8 Sep 2015, 7:07 pm
According to DOJ’s press release: The Justice Department announced today that Walter Investment Management Corp. [read post]
7 Sep 2015, 8:00 pm
Walter Investment Management Corporation has agreed to settle a False Claims Act (FCA) allegation for $29.63 million. [read post]
10 Oct 2017, 1:34 pm
Jospin joined the SEC from the law firm of Paul Hastings LLP, where he was a long-time partner in the Atlanta office with a practice focusing on securities enforcement, internal investigations, corporate transactions, and corporate governance. [read post]
7 Dec 2016, 6:16 am
Our firm’s investment attorneys are investigating reports in a New York Times article and customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Walter Marino (Marino) currently associated with Benjamin Securities, Inc. [read post]
11 Feb 2015, 7:04 am
The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) have brought action (FINRA Here, SEC Here) against Timothy Dembski (Dembski) and Walter Grenda (Grenda) concerning allegations that they made false and misleading statements to their clients at Reliance Financial Group (Reliance) an investment advisory firm, in recommending and selling investments in a risky hedge fund called Prestige Wealth Management Fund, LP… [read post]
20 Feb 2015, 3:11 pm
Demski and Walter F. [read post]
15 Apr 2019, 8:05 am
”Before joining the Division of Investment Management, Ms. [read post]
27 Oct 2009, 2:14 am
On October 2, 2009, as part of the 48th Annual Corporate Counsel Institute held at Northwestern University School of Law, SEC Commissioner Elisse B. [read post]
3 Jul 2009, 5:22 am
(Editor's Note: The post below by Commissioner Walter is a transcript of remarks by her at the Society of Corporate Secretaries and Governance Professionals on June 27, 2009 in San Diego.) [read post]
24 Mar 2009, 10:46 am
The SEC is also concerned with possible misconduct by funds of funds and feeder funds, which invested their own investors' funds with other hedge fund managers, but may have failed to exercise the due diligence and compliance oversight touted to investors regarding such investments.The Commission has brought a broad range of enforcement actions involving hedge funds and institutional traders. [read post]
28 Jan 2010, 6:10 am
Walter Richey Professor of Corporate Law at the University of Minnesota Law School. [read post]
29 Nov 2007, 12:52 am
We provide approximately twenty-one distinct services to our clients ranging from full-service accounting such as audit, accounting and tax (both corporate and individual tax advisory services) to internal audit, risk management, and royalty compliance audit services. [read post]
2 Dec 2020, 7:10 am
Interactions between firms subject to market discipline and the environmental, social and governance (ESG) context within which they operate have proliferated to the point of influencing board and management behavior, stock prices and corporate valuations—as well as the creation of target investment funds tied to specific ESG outcomes. [read post]
5 Jul 2023, 7:03 am
The EPO management has been under increasing criticism for its perceived lack of attention for the deteriorating quality of EPO patents. [read post]
8 Nov 2012, 1:38 pm
The Securities and Exchange Commission has filed charges against hedge fund manager Walter A. [read post]
28 Jun 2012, 9:42 am
A financial advisor may still charge a higher fee for managing certain types of investments over others – e.g., 1.5% fee when managing equities while only 0.5% when managing bonds. [read post]
1 Nov 2019, 6:00 am
Investment Management: Compliance Developments & Calendar for Private Fund Advisers Posted by Jason M. [read post]
1 Feb 2019, 10:51 am
Why public benefit corporations? [read post]
1 Oct 2015, 5:56 am
Walter Investment Management Corp. [read post]
8 Apr 2010, 5:37 am
Walter Werner called the erosion doctrine, or, in his other phrase, the "folklore of big corporations. [read post]
