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29 May 2024, 4:58 pm
Moelis & Co. is a publicly traded investment bank.[2] Ken Moelis is the firm’s founder, CEO, and Chairman of the Board.[3] Prior to Moelis & Co. [read post]
24 May 2024, 7:03 am
Justice Department (DOJ) announced yesterday that it has filed suit, along with 29 states and the District of Columbia, charging Live Nation Entertainment Inc. and its subsidiary Ticketmaster LLC with monopolizing the live-events industry in violation of Section 2 of the Sherman Act. [read post]
22 May 2024, 5:23 am
Editor’s Note: Welcome to the May 2024 edition of “Vendor Voices in eDiscovery. [read post]
21 May 2024, 9:01 pm
This determination is an objective standard, and it is intended to be construed in a manner consistent with the SEC’s framework in Regulation Best Interest for assessing whether a broker-dealer has made a recommendation to a retail investor. [read post]
15 May 2024, 11:44 am
SEC Charges Hudson Valley Wealth Management and Founder for Breach of Fiduciary Duty On May 14, 2024, The Securities and Exchange Commission (SEC) announced it has settled charges against Hudson Valley Wealth Management Inc., a registered investment adviser based in New York, and its founder. [read post]
15 May 2024, 9:36 am
On April 3, 2024, Lax & Neville LLP won a FINRA arbitration award on behalf of a 75-year-old retiree (“Claimant”) against E1 Asset Management, Inc., Shaun Joseph Grimaldi, and Ron Yehuda Itin (“Respondents”). [read post]
14 May 2024, 5:08 am
According to the 2021 Franchise Disclosure Document (“FDD”) of Hummus Republic Franchising USA, Inc., Hummus Republic has 10 franchised outlets in the US found in California, Massachusetts, and New Jersey. [read post]
9 May 2024, 2:00 pm
The Arizona firm waited for their bank’s notification that the check they received from the “debtor” was valid before issuing payment to “Groat Machinery, Inc. [read post]
6 May 2024, 8:26 am
Which seems odd, at best. [read post]
6 May 2024, 3:32 am
At that time, the three members agreed to market the Company for sale through an investment banking firm. [read post]
1 May 2024, 10:16 pm
LPL Financial Holdings Inc. serves nearly 23,000 financial advisers and manages over $1.44 trillion in advisory and brokerage assets as of March 31, 2024. [read post]
24 Apr 2024, 12:16 pm
Earlier in March, the US Securities and Exchange Commission charged investment advisers Delphia (USA) Inc. [read post]
22 Apr 2024, 1:15 pm
LPL Financial LLC Wells Fargo Clearing Services, LLC Chun Elmejjad Equitable Advisors, LLC AXA Advisors, LLC Jonathan Gervaise Jackson National Life Distributors LLC Pruco Securities, LLC Jonathan Long Cambridge Investment Research, Inc. [read post]
22 Apr 2024, 12:35 pm
Stephen Florio Cambridge Investment Research, Inc.. [read post]
21 Apr 2024, 5:00 pm
Fiduciaries of health and welfare benefit plans that fund benefits through a trust have an additional duty to diversify plan investments. [read post]
20 Apr 2024, 8:07 am
KLDiscovery Investments Lead to a R [read post]
19 Apr 2024, 2:04 pm
RBC Dain Rauscher Inc. [read post]
19 Apr 2024, 1:43 pm
., Inc. [read post]
19 Apr 2024, 1:34 pm
For investors who have been defrauded by a financial advisor or others, FINRA arbitration is frequently the best place to secure a recover for losses. [read post]
19 Apr 2024, 1:23 pm
Bancorp Investments, Inc. [read post]
