Search for: "Investors Services Inc." Results 1 - 20 of 4,720
Sort by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement May, 2024
7 Jun 2024, 6:44 am by Silver Law Group
Morgan Securities LLC   UBS Financial Services Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Registered Individuals For Violations Of FINRA Rules May 2024
7 Jun 2024, 6:19 am by Silver Law Group
  Kirkland Wilson   Cetera Advisor Networks LLC   Securian Financial Services, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Required SEC disclosures and erroneous DNA evidence
6 Jun 2024, 2:03 pm by John Elwood
Facebook warned investors that if third parties improperly accessed or disclosed user data, Facebook could suffer business harm. [read post]
SCOTUSblog - http://www.scotusblog.com/
David Lerner Associates: Complaints, Regulatory Actions
5 Jun 2024, 10:52 am by The White Law Group
   David Lerner Associates (CRD#5397) functions as a licensed broker-dealer, offering comprehensive independent brokerage services to both individual investors and financial advisors. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Sila Realty Trust Shares To Be Listed On New York Stock Exchange After Reverse Split
3 Jun 2024, 1:19 pm by InvestorLawyers
Investors in Sila Realty Trust Inc. [read post]
Investor Lawyers Blog - https://www.investorlawyers.net/blog/
Weekly Roundup: May 24-30, 2024
31 May 2024, 6:30 am
Posted by Subodh Mishra, Institutional Shareholder Services Inc., on Tuesday, May 28, 2024 Tags: Activists, disclosures, ESG, OECD, Stakeholders ESMA Guidelines on ESG-related Fund Names Posted by Gregg Beechey, Zac Mellor-Clark, Nishkaam Paul, Fried, Frank, Harris, Shriver & Jacobson LLP, on Wednesday, May 29, 2024 Tags: Environmental, ESG, ESMA, Fund managers, guidelines, Sustainability Ethical Investments Posted by Yifat Naftali Ben Zion (Harvard Law School), on… [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Weekly Roundup: May 24-30, 2024
31 May 2024, 6:30 am
Posted by Subodh Mishra, Institutional Shareholder Services Inc., on Tuesday, May 28, 2024 Tags: Activists, disclosures, ESG, OECD, Stakeholders ESMA Guidelines on ESG-related Fund Names Posted by Gregg Beechey, Zac Mellor-Clark, Nishkaam Paul, Fried, Frank, Harris, Shriver & Jacobson LLP, on Wednesday, May 29, 2024 Tags: Environmental, ESG, ESMA, Fund managers, guidelines, Sustainability Ethical Investments Posted by Yifat Naftali Ben Zion (Harvard Law School), on… [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Payments News Update – May 31, 2024
31 May 2024, 6:00 am by Michelle
Visa has refined the Tink service, initially rolled out in Europe, and it’s gearing up to launch in the U.S. now with some pilot customers, Visa Chief Product and Strategy Officer Jack Forestell said at an investor conference last week. [read post]
C|C Payments Blog - https://constantinecannon.com/practice/antitrust-litigation-counseling/cc-payments-blog/
How Do Companies Monitor Stakeholder Grievances?
28 May 2024, 6:32 am
Posted by Subodh Mishra, Institutional Shareholder Services Inc., on Tuesday, May 28, 2024 Editor's Note: Subodh Mishra is Global Head of Communications at ISS STOXX. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
How Do Companies Monitor Stakeholder Grievances?
28 May 2024, 6:32 am
Posted by Subodh Mishra, Institutional Shareholder Services Inc., on Tuesday, May 28, 2024 Editor's Note: Subodh Mishra is Global Head of Communications at ISS STOXX. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Live Nation Breakup: Are Mergers Really to Blame for Ticketmaster’s Problems?
24 May 2024, 7:03 am by Eric Fruits
That investor group sold the company 15 months later to Ticketmaster. [read post]
Truth on the Market - http://truthonthemarket.com/
SEC Charges Intercontinental Exchange and Nine Affiliates Including the New York Stock Exchange with Failing to Inform the Commission of a Cyber attack
22 May 2024, 8:30 am by jeffreynewmanadmin
Without admitting or denying the SEC’s findings, ICE and its subsidiaries, consisting of Archipelago Trading Services, Inc.; New York Stock Exchange LLC; NYSE American LLC; NYSE Arca, Inc.; ICE Clear Credit LLC; ICE Clear Europe Ltd.; NYSE Chicago, Inc.; NYSE National, Inc.; and the Securities Industry Automation Corporation agreed to a cease-and-desist order in addition to ICE’s monetary penalty. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Ropes & Gray Discusses Labor Department’s Final Fiduciary Rule
21 May 2024, 9:01 pm by renholding
This means that it is possible to render advice to a retirement investor without being a fiduciary, so long as the relationship between the advice provider and the retirement investor is clearly defined and understood by all parties. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Undue Limitations in the Section 10(b) Purchaser-Seller Requirement
20 May 2024, 9:05 pm by renholding
See In re CarLotz, Inc. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Weekly Roundup: May 10-16, 2024
17 May 2024, 6:30 am
Posted by Joel Paula, FCLTGlobal, on Monday, May 13, 2024 Tags: AI, Artificial intelligence, ESG, Glass Lewis, ISS The 2024 Audit Committee agenda and the questions investors should be asking Posted by Sophie Gauthier-Beaudoin and Tim Copnell, KPMG, on Tuesday, May 14, 2024 Tags: Audit committee, Audits, Cybersecurity, ESG, ESG disclosures, Financial reporting, Generative AI, Governance reform, investors The Distinction Between Direct and Derivative Shareholder Claims… [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Weekly Roundup: May 10-16, 2024
17 May 2024, 6:30 am
Posted by Joel Paula, FCLTGlobal, on Monday, May 13, 2024 Tags: AI, Artificial intelligence, ESG, Glass Lewis, ISS The 2024 Audit Committee agenda and the questions investors should be asking Posted by Sophie Gauthier-Beaudoin and Tim Copnell, KPMG, on Tuesday, May 14, 2024 Tags: Audit committee, Audits, Cybersecurity, ESG, ESG disclosures, Financial reporting, Generative AI, Governance reform, investors The Distinction Between Direct and Derivative Shareholder Claims… [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
American Hospitality: A Guide on Hotel Franchising
15 May 2024, 1:46 pm by Christine Bontuyan
A hotel is defined as an establishment that provides lodging and usually meals, entertainment, and various personal services for the public. [read post]
The Law Department - https://thelawdept.com/legal-blog
Risk Potpourri — Judge’s “Street Brawl” (And Conflict), Banker Conflict Disclosure Matter, CLO/Corporate Secretary Research, Fee Sharing Opinion
13 May 2024, 6:41 am by Dan Bressler
It found that language stating that the second advisor “may provide” services to Nordic and its co-investors was misleading given that the advisor was in fact providing such services, creating a concurrent conflict. [read post]
Bressler Risk Blog - http://www.bresslerriskblog.com
AI, Oh My – SEC Announces First Ever “AI Washing” Enforcement Actions
9 May 2024, 3:08 pm by Adam G. Schreck
Delphia is primarily in the business of offering robo-advisory services to retail investors. [read post]
New York Securities Fraud Lawyers Blog - http://www.newyorksecuritieslawyersblog.com/
Oppenheimer & Co. Broker Misconduct, Regulatory Actions
8 May 2024, 7:20 pm by The White Law Group
Inc. to pay nearly $14 million to victims of an alleged Ponzi scheme led by a former Oppenheimer broker, targeting 400 elderly investors. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/