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9 Sep 2022, 6:30 am
Fisch (University of Pennsylvania), on Wednesday, September 7, 2022 Tags: Climate change, Diversity, ESG, Institutional Investors, Mutual funds, Sustainability BlackRock Voting Spotlight—A Look Into the 2021-2022 Proxy Voting Year Posted by Sandra Boss and Michelle Edkins, BlackRock, Inc., on Wednesday, September 7, 2022 Tags: Climate change, ESG, Index funds, Institutional Investors, Proxy voting, Shareholder proposals, Stewardship, Sustainability Quarterly Activist… [read post]
8 Sep 2022, 9:01 pm
Offers and sales of these thousands of crypto security tokens are covered under the securities laws. [read post]
6 Sep 2022, 12:07 pm
” Since September 1999, Bryon Edwin Martinsen has been registered as a broker dealer with Centaurus Financial, Inc. in Kings Park, New York. [read post]
6 Sep 2022, 12:07 pm
” Since September 1999, Bryon Edwin Martinsen has been registered as a broker dealer with Centaurus Financial, Inc. in Kings Park, New York. [read post]
6 Sep 2022, 12:07 pm
” Since September 1999, Bryon Edwin Martinsen has been registered as a broker dealer with Centaurus Financial, Inc. in Kings Park, New York. [read post]
25 Aug 2022, 8:32 am
(CRD #14752), a broker dealer based in Raleigh, North Carolina, engages in a general securities business, including the sales of equity securities, mutual funds, variable annuities, and private placements. [read post]
24 Aug 2022, 9:01 pm
The SEC alleged that BNY Mellon falsely stated it conducted an ESG review of all investments in certain mutual funds, when in reality the SEC found that many investments did not have an associated ESG review score at the time of investment. [read post]
24 Aug 2022, 9:38 am
(CRD#:14251), WELLESLEY, MA 05/01/2002 – 01/02/2015, NEW ENGLAND SECURITIES (CRD#:615), WELLESLEY, MA 02/01/2002 – 04/18/2002, MML INVESTORS SERVICES, INC. [read post]
17 Aug 2022, 12:51 pm
But Tenafly Eruv Ass'n, Inc. v. [read post]
9 Aug 2022, 2:24 pm
Robert Welch, Inc. (1974) (creating some limits on liability for defaming private figures). [read post]
25 Jul 2022, 5:00 am
As an example, he noted the SEC’s charges against BNY Mellon Investment Adviser, Inc. for misstatements and omissions about ESG considerations in certain mutual funds it managed. [read post]
22 Jul 2022, 5:35 am
The letter stated in point: The Florida Office of Insurance Regulation (OIR) has recently learned that Demotech, Inc. [read post]
7 Jul 2022, 9:01 pm
” The aggrieved employee must first inform the state of her proceeding and, if successful, can secure civil penalties scheduled according to the number and length of time of the violations: 75% of the penalties going to the state, 25% to be distributed to the employees affected by the violations. [read post]
7 Jul 2022, 6:21 am
Mayberg is a co-founder and principal of ProShares and ProFunds, exchange-traded funds and mutual funds, where he served as president. [read post]
5 Jul 2022, 3:03 pm
This means that when you retain us, we will fight to secure your child’s best interests. [read post]
5 Jul 2022, 11:40 am
As discussed in our prior blog post of August 20, 2020, drivers from Pennsylvania and Rhode Island made deliveries to a retail grocery store’s locations throughout many East Coast states on behalf of National Freight, Inc. and NFI Interactive Logistics, Inc. [read post]
5 Jul 2022, 8:39 am
Carl Ippolito Pruco Securities, LLC Eagleview Securities, Inc. [read post]
1 Jul 2022, 8:00 am
According to The Wall Street Journal, sources say that The US Securities and Exchange Commission (SEC) is investigating Goldman Sachs Group Inc. [read post]
26 Jun 2022, 1:01 pm
The Securities and Exchange Commission charged BNY Mellon Investment Adviser, Inc. with misstatements and omissions about ESG considerations for certain mutual funds that it managed. [read post]
22 Jun 2022, 9:05 pm
On the civil front, on May 23, 2022, the SEC charged BNY Mellon Investment Adviser, Inc. for “misstatements and omissions about Environmental, Social, and Governance (ESG) considerations in making investment decisions for certain mutual funds that it managed. [read post]
