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6 Oct 2015, 3:05 am by Kevin LaCroix
Newman, the Second Circuit considered appeals from the insider trading convictions of Todd Newman, a former portfolio manager at Diamondback Capital Management, LLC, and Anthony Chiasson, a former portfolio manager at Level Global Investors, LP. [read post]
1 Oct 2015, 5:59 am by SHG
There is, however, video in the hands of the Department of Corrections who manages the lock-up before defendants appear before the arraignment judge the first time. [read post]
28 Sep 2015, 2:10 pm by Cynthia Marcotte Stamer
  Settlements like the Halliburton settlement are painful for any employer and Halliburton is not the first industry leader caught by the DOL. [read post]
25 Sep 2015, 5:00 am by Randi Morrison
Average Whistleblower – Likely to be an actively engaged, well-performing employee – most likely a supervisor or high-level manager – 92% report internally first. [read post]
C-Corporations are subject to double taxation (a tax first on corporate profit and then another tax o [read post]
17 Sep 2015, 6:30 am by Michael B. Stack
    Author Michael Stack, Principal, COMPClub, Amaxx LLC. [read post]
16 Sep 2015, 7:20 am by Rich Vetstein
The first mistake she made was not securing written leases for all tenants and occupants at the rental property. [read post]
14 Sep 2015, 4:32 pm by Kevin LaCroix
Levinson, 485 U.S. 224 (1988) as to individual class members[5] by focusing upon large institutional claimants; and (ii) limiting “allowed claims” through set-offs pursuant to § 28(a)’s requirement limiting plaintiffs to “actual damages,”[6] and the Private Securities Litigation Reform Act’s (“PSLRA”) damages provision which essentially limits plaintiffs to nominal losses.[7] As to the first category, the Supreme Court’s… [read post]
14 Sep 2015, 11:10 am by Michael B. Stack
    Author Michael Stack, Principal, COMPClub, Amaxx LLC. [read post]
2 Sep 2015, 9:50 am by D. Daxton White
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to the representation of investors in FINRA arbitration claims against brokerage firms throughout the United States. [read post]
31 Aug 2015, 9:00 am by Dheeraj K. Singhal
About 50% of businesses fail in their first 5 years according to Gallup, although a Forbes analysis put the failure rate as high as 80% for new businesses within their first 18 months. [read post]
28 Aug 2015, 10:44 am by Samantha E. Thompson
LLC (Pimco) announced that it had received a Wells notice from the Securities and Exchange Commission concerning the valuation of certain nonagency mortgage-backed securities in its popular, exchange-traded Pimco Total Return ETF fund. [read post]
25 Aug 2015, 7:32 am by Bob Kraft
The post Four Easy Ways Small Law Firms Can Cut Costs appeared first on P.I.S.S.D. -- Personal Injury, Social Security Disability. [read post]
14 Aug 2015, 8:03 am by David Colapinto
Most employees report violations internally to company management long before reporting violations to the SEC, and many employees only report violations internally. [read post]
12 Aug 2015, 12:10 pm by Charles Casper
Direct Digital, LLC, No. 15-1776, — F.3d —, 2015 WL 4546159, at *1 (7th Cir. [read post]