Search for: "Security Financial Fund LLC"
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26 Jan 2024, 8:58 am
Venture capital fund advisers that are subject to the Advisers Act and have made required filings with the SEC. [read post]
24 Aug 2018, 6:06 am
Schonlau (Miami University of Ohio), on Monday, August 20, 2018 Tags: Change in control, Dodd-Frank Act, Executive Compensation, Golden parachutes, Management, Mergers & acquisitions, Proxy advisors, Say on pay, Securities regulation, Shareholder voting, Takeover defenses Federal FinTech Bank Charters Posted by Lee Meyerson, Keith Noreika, and Adam Cohen, Simpson Thacher & Bartlett LLP, on Monday, August 20, 2018 … [read post]
1 Mar 2023, 7:55 am
He apparently was commingling customer funds with his own hedge fund, which was called Alameda Research, which also filed for bankruptcy. [read post]
27 Feb 2012, 1:16 pm
Acquiring interests in such securities through a pooled investment or single security “fund” introduces another layer of costs to the investor as well as risk associated with the fund manager. [read post]
27 Aug 2012, 7:48 am
§§ 1692d, 1692e, 1692e(4) and 1692(5) by repeatedly representing in telephone conversations that it could or would seize her exempt social security funds. [read post]
3 Oct 2019, 6:43 am
Thus, unscrupulous brokers and financial advisers push these risky products whilst assuring Mom and Pop clients that they are safe and secure. [read post]
13 Sep 2019, 5:49 am
Levitin (Georgetown University), on Wednesday, September 11, 2019 Tags: Financial crisis, Financial regulation, Risk management, Securities regulation, Systemic risk, Underwriting Proxy Season Rising Demand for Board Oversight of ESG Posted by Peter Reali and Anthony Garcia, Nuveen, LLC, on Wednesday, September 11, 2019 Tags: Board composition, Board oversight, Boards of… [read post]
15 Jul 2012, 12:25 pm
The Financial Industry Regulatory Authority ("FINRA") recently fined both Coughlin and Harrison $50,000 for their conduct and banned each from the securities industry for two years. [read post]
9 Mar 2018, 6:06 am
Regulating Proxy Advisors is Anticompetitive, Counterproductive, and Possibly Unconstitutional Posted by Nell Minow, ValueEdge Advisors, on Friday, March 2, 2018 Tags: Boards of Directors, Corporate Governance Reform and Transparency Act, Institutional Investors, ISS, Proxy advisors, Securities regulation, Shareholder voting The Misuse of Tobin’s Q Posted by Robert Bartlett (UC Berkeley School of Law) and Frank Partnoy (University of… [read post]
10 Apr 2012, 5:01 am
Jean Setzfand, Director of Financial Security for the AARP Anne Sheehan, Director of Corporate Governance, California State Teachers’ Retirement System Damon Silvers, Associate General Counsel for the AFL-CIO Mark Tresnowski, Managing Director and General Counsel, Madison Dearborn Partners, LLC Steven Wallman, Founder and Chief Executive Officer, Foliofn, Inc. [read post]
30 Aug 2010, 2:07 pm
National Underwriter reported that Slate Capital LLC, a unit of American International Group, Inc. [read post]
11 Oct 2017, 5:41 pm
KKR Financial Holdings LLC (here) and the Delaware Chancery Court’s January 2016 court decision in the In re Trulia Shareholder litigation (here)—deal litigation that in the past would have been filed in Delaware is now being filed elsewhere. [read post]
11 Oct 2017, 5:41 pm
KKR Financial Holdings LLC (here) and the Delaware Chancery Court’s January 2016 court decision in the In re Trulia Shareholder litigation (here)—deal litigation that in the past would have been filed in Delaware is now being filed elsewhere. [read post]
17 Apr 2014, 1:09 pm
Unfortunately, it is unknown if the company has the funds to repay investors for the financial losses they have suffered. [read post]
16 Jan 2012, 4:42 pm
Walter Louis Howerton formerly with Wachovia Securities, LLC, in Modesto, California, was fined $12,500 and suspended from association with any FINRA member for six months in connection with a finding that he made unsuitable recommendations related to a customer's account. [read post]
28 Jun 2012, 9:42 am
The financial firms, professionals, and the securities they sell fall under numerous federal and state regulatory schemes – e.g., the Securities and Exchange Commission (“SEC”), and the Financial Industry Regulatory Authority (“FINRA”). [read post]
26 Dec 2019, 9:02 am
From June 2019 until August 2019 Netzel was registered with Madison Avenue Securities, LLC out of the firm’s Sun Lakes, Arizona office location. [read post]
29 Nov 2011, 3:29 pm
Paris II, former President and Chief Executive Officer for the now-defunct Meadowbrook Securities, LLC (fka Investlinc Securities, LLC), of Jackson, MS, was suspended for six months in any principal capacity and fined $10,000 in connection with the sale of two Provident Royalties private placements and a Medical Capital private placement. [read post]
18 Sep 2007, 10:27 pm
Yeah that's right... it's "Asseff" the company is trying to get dimwitted suckers to believe that they should give up their future financial security for a deep discount so that they can live beyond their means. [read post]
8 Mar 2016, 6:00 am
Parker MacIntyre, LLC provides legal and compliance services to investment advisers, broker dealers, registered representatives, hedge funds, and issuers of securities, among others. [read post]
