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15 Jul 2022, 6:29 am
Combatting Racial Inequity: A Two-Year Retrospective Posted by Adam Emmerich, David Silk, and Sabastian Niles, Wachtell, Lipton, Rosen & Katz, on Friday, July 8, 2022 Tags: Accounting, Corporate Social Responsibility, Diversity, Engagement, ESG, Transparency The Proposed SEC Climate Disclosure Rule: A Comment from Jon Lukomnik and Keith Johnson Posted by Jon Lukomnik (Sinclair Capital), and Keith Johnson (Global Investor Collaboration… [read post]
15 Jul 2022, 6:29 am
Combatting Racial Inequity: A Two-Year Retrospective Posted by Adam Emmerich, David Silk, and Sabastian Niles, Wachtell, Lipton, Rosen & Katz, on Friday, July 8, 2022 Tags: Accounting, Corporate Social Responsibility, Diversity, Engagement, ESG, Transparency The Proposed SEC Climate Disclosure Rule: A Comment from Jon Lukomnik and Keith Johnson Posted by Jon Lukomnik (Sinclair Capital), and Keith Johnson (Global Investor Collaboration… [read post]
24 May 2022, 5:00 am
BNY Mellon Investment Adviser, Inc. [read post]
30 Mar 2020, 4:59 am
UNITED STATES BANKRUPTCY COURT FOR THE SOUTHERN DISTRICT OF OHIO EASTERN DIVISION AT COLUMBUS In re: NASHEL : : : : : Jose J. [read post]
7 May 2018, 10:25 pm
at ¶ 16)In 2014, the owners of the beneficial interests in the Trusts were an affiliate of Citibank named SL Resid Holdings, LLC ("Citibank';) and NC Owners, LLC ("NC Owners") (collectively, the "Owners"). [read post]
21 Oct 2016, 1:00 am
Nadler, Nadler Advisory Services LLC, on Wednesday, October 19, 2016 Tags: Board communication, Board composition, Board dynamics, Boards of Directors, Director qualifications, Diversity,Engagement, Executive turnover, Management, Oversight, Shareholder activism, Succession It Pays to Set the Menu: Mutual Fund Investment Options in 401(k) Plans Posted by Veronika Krepely Pool, Indiana University, on Thursday, October 20, 2016 Tags: 401(k), Conflicts of interest, ERISA,… [read post]
23 Feb 2016, 7:36 am
Addressing the agenda for 2016, Chair White explained that the Commission will focus on issues relating to cybersecurity, market structure requirements, dark pools and other alternative trading systems, insider trading, disclosure deficiencies, and sales and marketing practices with respect to complex instruments and retail investors. [read post]
12 Aug 2015, 9:08 am
– $250,000 BNY Mellon Capital Markets, LLC – $120,000 BOSC, Inc. [read post]
25 Jun 2015, 1:29 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
25 Apr 2015, 4:22 am
Carl McCall, a sole trustee of the New York State Common Retirement Fund and a leading institutional investor. [read post]
5 Sep 2014, 5:00 am
We formed a three-person teaching team: Margaret Hagan, a legal designer based at Stanford’s d.school; Alex Gavis, in-house counsel at Fidelity Investments with expertise in consumer and financial regulations and product design; and Kursat Ozenc, an interaction designer trained at Carnegie Mellon’s Design School and working at Autodesk. [read post]
5 Sep 2014, 5:00 am
We formed a three-person teaching team: Margaret Hagan, a legal designer based at Stanford’s d.school; Alex Gavis, in-house counsel at Fidelity Investments with expertise in consumer and financial regulations and product design; and Kursat Ozenc, an interaction designer trained at Carnegie Mellon’s Design School and working at Autodesk. [read post]
6 Aug 2012, 2:41 pm
Carilion Clinic, Reuters, July 30, 2012 More Blog Posts: Texas Securities Fraud: BNY Mellon Capital Markets LLC Settles Allegations of Rigged Bond Bidding for $1.3M, Stockbroker Fraud Blog, January 24, 2012 Securities Claims Accusing Merrill Lynch of Concealing Its Auction-Rate Securities Practices Are Dismissed by Appeals Court, Stockbroker Fraud Blog, November 20, 2012 The 11th Circuit Revives SEC Fraud Lawsuit Against Morgan Keegan Over Auction-Rate Securities,… [read post]
1 Aug 2012, 5:51 am
Berkery, Chairman, UBS Bank & Vice Chair, Wealth Mgmt., UBS Financial Services Inc. [read post]
26 Apr 2012, 4:30 am
Mellon v. [read post]
26 Feb 2012, 1:17 pm
Sandra Smith | FOX Business Network Moderator: John Conolly | CME Group Sponsored by Gemini Fund Services 4:00 – 4:30 The Psychology of Successful Trading Denise Schull | Trader Psyches Sponsored by Investor Analytics 4:30 – 6:00 Closing Cocktail Party Sponsored by NYSE Liffe US and NYSE Liffe **** Cole-Frieman & Mallon LLP provides legal and compliance support to CTAs and CPOs. [read post]
3 Feb 2012, 1:53 pm
The state of Texas even recently started running public service announcements to warn investors to be wary of “free lunch” seminars that promise free meals but were, in fact, an excuse to “hard sell” attendees into making investments that may not be appropriate for them. [read post]
10 Feb 2011, 11:56 am
In July 2009, CAlPERS sued Standard & Poor’s, Moody’s Investors Services Inc., and Fitch Inc. [read post]
27 Jan 2011, 7:23 pm
[Update: it looks like the trustees see that it's checkmate once the investors get to the collective action threshold and are finally squeezing the servicers. [read post]
26 Oct 2010, 8:22 am
Foreside Fund Services, LLC, distributor. [read post]
