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7 Jun 2024, 11:10 am
The claim further alleges that Triad Advisors failed to supervise unsuitable recommendations in a high-risk alternative investment, Healthcare Trust Inc. [read post]
5 Jun 2024, 3:38 pm
The suit alleges that Triad Advisors Inc. unsuitably invested its client in numerous high risk illiquid investments. [read post]
5 Jun 2024, 10:52 am
Despite knowing the high risks involved, the manager allegedly approved sales of the partnerships, violating FINRA’s suitability rule and supervisory requirements. [read post]
3 Jun 2024, 4:31 am
The property was apparently owned and managed through several separate entities, including Maiden Lane Holding LLC, Maiden Lane Capital LLC, and Maiden Lane Development LLC. [read post]
2 Jun 2024, 9:01 pm
Another important aspect of self-policing is staying up-to-date on developments and risks. [read post]
31 May 2024, 11:49 am
Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
30 May 2024, 12:35 pm
Bantam Books, Inc. v. [read post]
29 May 2024, 4:42 pm
The conservancy’s original plan was to hire sharpshooters from the Connecticut-based nonprofit White Buffalo Inc. [read post]
28 May 2024, 9:01 pm
Attorneys practicing in this area will want to keep abreast of developments and think ahead as to how risk may be mitigated by contract. [read post]
28 May 2024, 11:38 am
On 23 – 24 May 2024 there was a Case Management Conference in Lawrence & ors v Associated Newspapers Ltd KB-2022-003316. [read post]
28 May 2024, 5:00 am
Ctr. for Autism, Inc. v New York State Justice Ctr. for the Protection of People with Special Needs [read post]
24 May 2024, 6:30 am
Kim, Skadden, Arps, Slate, Meagher & Flom LLP, on Wednesday, May 22, 2024 Tags: climate disclosures, climate risks, disclosure requirements, SEC Q1 2024 Takeaways on What Directors and Officers Need to Know Posted by Elizabeth Bieber and Pamela Marcogliese, Freshfields Bruckhaus Deringer LLP, on Thursday, May 23, 2024 Tags: AI, Artificial intelligence, Climate Disclosure, Cybersecurity, GenAI, Generative AI, SEC Custom Proxy Voting Advice Posted by Edwin Hu (NYU), Nadya Malenko… [read post]
24 May 2024, 6:30 am
Kim, Skadden, Arps, Slate, Meagher & Flom LLP, on Wednesday, May 22, 2024 Tags: climate disclosures, climate risks, disclosure requirements, SEC Q1 2024 Takeaways on What Directors and Officers Need to Know Posted by Elizabeth Bieber and Pamela Marcogliese, Freshfields Bruckhaus Deringer LLP, on Thursday, May 23, 2024 Tags: AI, Artificial intelligence, Climate Disclosure, Cybersecurity, GenAI, Generative AI, SEC Custom Proxy Voting Advice Posted by Edwin Hu (NYU), Nadya Malenko… [read post]
22 May 2024, 5:23 am
Exterro Donates Award-Winning Digital Forensics Solution to Empower 2024 IACIS Training Event Exterro, the leading provider of data risk management software solutions, announced today it will be supporting the 2024 International Association for Computer Information Systems (IACIS) Training Event by donating over $2.7 million in subscriptions to its renowned digital forensics solution, FTK Forensic Toolkit. [read post]
21 May 2024, 9:01 pm
That said, the risk of providing inadvertent fiduciary advice can be lowered by making it clear that advice is being addressed to a counterparty in its general capacity, and not in its capacity as a retirement investor with respect to a particular plan or IRA. [read post]
21 May 2024, 4:00 am
In Vermillion Networks Inc. v. [read post]
20 May 2024, 6:47 am
” “The best risk management practice is to identify and analyze potential conflicts of interest at the onset of the attorney-client relationship. [read post]
20 May 2024, 6:26 am
Assen KoevThe resolution of many securities class action lawsuits would benefit from an economic assessment early in the case process. [read post]
19 May 2024, 10:50 pm
The organization uses case managers for crisis intervention and safety planning to help survivors escape danger and unsafe situations. [read post]
17 May 2024, 12:29 pm
For example, Google and YouTube are wholly owned subsidiaries of their parent company, Alphabet, Inc. [read post]
