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13 Jan 2020, 5:57 am
No surprise it was one of the worst performing funds in 2019, according to Financial Planning. [read post]
15 Feb 2019, 6:14 am
Fund Manager Directive, Earnings management, Engagement, ESG, F&C Management, Fund managers, Hedge funds, Institutional Investors, Management, Mergers & acquisitions, Proxy contests, Shareholder activism, Shareholder voting Is There a First-Drafter Advantage in M&A? [read post]
4 Jun 2019, 1:47 pm
SG Americas Securities, LLC acted as Financial Advisor to Cheniere Partners for the transaction, and MUFG Bank, Ltd acted as Sole Coordinating Lead Arranger. [read post]
14 Jun 2014, 6:06 am
Those firms include Janney Montgomery Scott LLC and Investors Capital Corp. [read post]
25 Jul 2008, 7:17 pm
Edwards & Sons, Inc., Piper Jaffray & Co., SunTrust Capital Markets Inc., Wachovia Capital Markets, LLC, and Bank of America Securities LLC. [read post]
2 May 2012, 11:54 am
The biggest concern is losing a device that is not fully secure if lost. [read post]
27 Jun 2018, 12:27 pm
Zamansky LLC is a New York law firm which represents investors in court and arbitration cases against securities brokerage firms and issuers. [read post]
15 Nov 2021, 10:39 am
See e.g., In the Matter of Morgan Stanley Smith Barney LLC, Investment Advisers Act Rel. [read post]
8 Apr 2015, 3:17 pm
In addition, FINRA alleged that between September 2011 and May 2014, while registered with PFS and also HBW Securities LLC (HBW) Korson participated in private securities transactions involving My Coupon Genie without providing prior written notice to either firm. [read post]
13 Jul 2020, 9:36 am
There, the SEC brought a civil enforcement action against defendants, who were accused of violating the federal securities laws by misappropriating nearly $20 million of investor funds. [read post]
18 Jan 2012, 2:40 pm
Tortora and caused his firm to execute profitable insider trades in Dell securities. [read post]
8 Jul 2019, 7:32 am
Stephen Berger, managing director and global head of government & regulatory policy at Citadel LLC, testifying on behalf of the Managed Funds Association (MFA) said that the MFA has been actively engaging with policymakers to address complexities arising from Brexit. [read post]
16 Jul 2008, 9:25 pm
Edwards & Sons, Inc., Piper Jaffray & Co., SunTrust Capital Markets Inc., Wachovia Capital Markets, LLC, and Bank of America Securities LLC. [read post]
6 Oct 2017, 6:09 am
McIntosh, Wachtell, Lipton, Rosen & Katz, on Friday, September 29, 2017 Tags: Accountability, Asset management, BlackRock, Board composition, Board performance, Boards of Directors, Diversity, Engagement, ESG, Hedge funds, Institutional Investors, Pension funds, Shareholder activism Corporate Debt Maturity Profiles Posted by Jaewon Choi (University of Illinois), Dirk Hackbarth (Boston University), and… [read post]
11 Mar 2022, 1:05 pm
BlockFi Lending LLC (BlockFi) is a New Jersey-based financial services company owned by BlockFi, Inc. [read post]
1 May 2010, 7:15 am
Are hedge funds a less authentic constituency in Chapter 11? [read post]
7 Aug 2018, 2:03 pm
Zamansky LLC is a New York law firm which represents investors in court and arbitration cases against securities brokerage firms and issuers. [read post]
1 Sep 2011, 4:15 pm
The following information regarding broker misconduct and disciplinary actions taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in May, June, July and August 2011: Midas Securities, LLC, in Anaheim, CA, was fined $80,000 in connection with a finding by FINRA that they failed to reasonably supervise registered representatives in the sale of unregistered securities. [read post]
6 May 2014, 4:26 pm
The cyber threat is much broader than customer data privacy as addressed by the Securities and Exchange Commission’s Regulations S-P (regarding privacy of consumer financial information) and S-ID (regarding identity theft). [read post]
13 Jan 2020, 7:51 am
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 Franklin, Tennessee. [read post]
