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25 Feb 2016, 5:32 am
Finally, since June 2015 Montalbano has been associated with Worden Capital Management LLC out of the firm’s Westbury, New York office locations. [read post]
23 Feb 2016, 7:36 am
Jones Capital Equities Management, Admin. [read post]
22 Feb 2016, 4:36 pm
This paper is intended for the insurance professional as an additional introduction to this increasingly relevant and ever evolving management liability product. [read post]
19 Feb 2016, 6:00 am
Health clubs are required to register and issue a security bond with the Department of Law and Public Safety. [read post]
18 Feb 2016, 12:58 pm
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]
16 Feb 2016, 4:50 pm
Carlyle Investment Management LLC (CIM) served as CCC’s investment manager pursuant to an investment Management Agreement (IMA). [read post]
5 Feb 2016, 6:15 am
One such issuance is Adageo Energy Partners, LP which according to SEC filings sought to raise $50 million and raised at least $31 million of that amount through brokerage firms including Direct Capital Securities, Inc., Madison Avenue Securities, Inc., WFP Securities, Inc., Arete Wealth Management, LLC, Newbridge Securities Corporation, Charter Pacific Securities, LLC, ePLANNING Securities, Inc., Sunset Financial… [read post]
4 Feb 2016, 8:25 am
Centerra provides various services to its clients on a contract basis, including nuclear security protection, fire protection, and emergency management. [read post]
4 Feb 2016, 7:58 am
The renewed committee will hold its first meeting on Thursday, February 25. [read post]
28 Jan 2016, 1:24 am
Not only will a WISP better position a company when defending claims related to a data breach, it will also help the company manage and safeguard critical information and potentially avoid a breach from occurring in the first place. [read post]
20 Jan 2016, 9:37 am
At all relevant times, defendant Kenneth Nassif, a Virginia resident, served as the Managing Director of Alliance.Plaintiff commenced his employment with Alliance in April 2014. [read post]
20 Jan 2016, 5:21 am
Morgan Securities LLC Administrative Proceeding File No.: 3-17008 Date Filed: December 18, 2015 Date of Qualifying Judgment/Order: December 18, 2015 12/23/2015 3/22/2016 2015-146 SEC v. [read post]
19 Jan 2016, 9:53 am
The Securities and Exchange Commission today announced that a Denver-based alternative fund manager has agreed to settle charges that the firm overcharged management fees and misled investors about how it valued certain assets.An SEC investigation found that Equinox Fund Management LLC calculated management fees contrary to the method described in registration statements for a managed futures fund called The Frontier Fund (TFF), and the… [read post]
15 Jan 2016, 1:17 pm
In 1981, Apache Corporation was the first company to form an MLP in the United States. [read post]
14 Jan 2016, 1:24 pm
On January 12, 2016, the Appellate Division, First Department, of the New York State Supreme Court affirmed a trial court order granting Morgan Stanley’s motion to dismiss claims brought by Dexia SA’s subsidiary FSA Asset Management LLC (“FSAM”). [read post]
14 Jan 2016, 11:12 am
First Interim Report of the New Jersey Civil Union Review CommissionFebruary 19, 2008Members of the CommissionJ. [read post]
13 Jan 2016, 5:05 pm
In the following guest post from John Reed Stark, President, John Reed Stark Consulting LLC, and David R. [read post]
11 Jan 2016, 11:12 am
The Securities and Exchange Commission today announced that Julie M. [read post]
8 Jan 2016, 5:26 am
’ LVRC Holdings LLC v. [read post]
7 Jan 2016, 8:58 am
First, there must be reasonable basis for the recommendation the product or security based upon the broker’s investigation and due diligence into the investment’s properties including its benefits, risks, tax consequences, and other relevant factors. [read post]
