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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]
19 Jun 2022, 7:17 pm
(HIT REIT) 2021 UpdateHealthcare Trust Inc. [read post]
19 Jun 2022, 1:40 pm
(…) In 2012, the FDA ordered Ethicon to conduct post-market surveillance studies for one of its SUI devices (TVT-Secur) and three of its POP devices (Prolift, Prolift-M, and Prosima). [read post]
15 Jun 2022, 2:51 am
American Healthcare REIT, Inc. [read post]
8 Jun 2022, 11:03 am
EMAR, Group, Inc. held that an insurance broker and agent owed a duty of care to a loss-payee found within the zone of harm stemming from the broker’s negligent actions. [read post]
8 Jun 2022, 11:03 am
EMAR, Group, Inc. held that an insurance broker and agent owed a duty of care to a loss-payee found within the zone of harm stemming from the broker’s negligent actions. [read post]
7 Jun 2022, 3:29 am
Color Up, LLC offered to tender up to 900,506 of the outstanding shares of common stock of The Parking REIT, Inc. [read post]
2 Jun 2022, 7:30 pm
In 2020, the company launched a new offering called the Liquidity Bond 2020, constituting secured debt of GWG Holdings, Inc. [read post]
1 Jun 2022, 9:16 am
Scott Levine Ascendiant Capital Markets, LLC BMA Securities Mario Martinez Mutual of Omaha Investors Services, Inc. [read post]
1 Jun 2022, 8:46 am
Pruco Securities, LLC Guy Kossuth Northwestern Mutual Investment Services, LLC NYLife Securities LLC Christopher McFadden Equitable Advisors, LLC LPL Financial LLC Ann Montgomery LPL Financial LLC National Planning Corporation Michael Pau MML Investors Services, LLC MSI Financial Services, Inc. [read post]
31 May 2022, 5:33 am
Securities and Exchange Commission (SEC) announced charges against BNY Mellon Investment Adviser, Inc. for misstatements and omissions about Environmental, Social, and Governance (ESG) considerations in investment decisions. [read post]
29 May 2022, 4:05 pm
The dispute involved mutual allegations of sexual battery, and a claim of defamation. [read post]
25 May 2022, 9:01 pm
” Issuers are also required to explain how each disclosed risk affects the offered security. [read post]
24 May 2022, 1:03 pm
BNY Mellon Investment Adviser, Inc. [read post]
24 May 2022, 5:00 am
BNY Mellon Investment Adviser, Inc. [read post]
23 May 2022, 6:15 am
The Securities and Exchange Commission today 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…Read the Full Press ReleaseHave a securities law question? [read post]
22 May 2022, 6:53 am
” They “never had a shared, mutual intent to live apart. [read post]
20 May 2022, 8:25 am
According to its prospectus, Nuveen California Quality Municipal Income Fund is a closed ended fixed income mutual fund launched by Nuveen Investments, Inc. [read post]
18 May 2022, 1:17 pm
The regulator rep reportedly noted that some firms and brokers may not have a clear understanding of “alternative” mutual funds, which use high-risk options as part of their investment strategy. [read post]
9 May 2022, 5:59 pm
Erie Co. 1997); Duane Reade, Inc. v. [read post]
