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22 Aug 2006, 6:43 am
The two counts that remained after the defense motion to dismiss were for breach of fiduciary duty under § 36(b) of the Investment Company Act, and a § 48(a) "control person" claim that was premised on the § 36(b) allegation. [read post]
25 Apr 2012, 10:40 am
Several days later, the B-D proceeded to seek bankruptcy protection. [read post]
31 Mar 2022, 3:15 am
While the SEC’s latest rule proposal has the greatest relevance to SPACs & shell companies, there’s one aspect of it that applies to all public companies – proposed tweaks to the agency’s guidance on the inclusion of projections in SEC filings (see p. 130 of the release). [read post]
8 Mar 2011, 1:08 am
Sections 105(A) and 363(B) and Federal Rule of Bankruptcy Procedure 6004 Authorizing Debtors' Entry into a Financing Arrangement and Performance Thereunder in Connection with Their Plan of Reorganization Filed by PJ Finance Company, LLC. [read post]
11 Sep 2012, 8:41 am
However, under 13 C.F.R. § 121.103(b)(2), common ownership and management cannot be used to find affiliation between tribal companies. [read post]
9 Mar 2011, 7:39 am
Attorney’s Office unsealed an indictment charging a Tampa, Florida insurance agent Steven B. [read post]
14 Nov 2011, 10:09 pm
Welcome to our Masters Forum on William B. [read post]
21 Jan 2020, 11:10 am
For example, if Driver A gets into an accident with Driver B, and Driver B was at fault, Driver A may be able to recover for his medical expenses from Driver B’s insurance company. [read post]
21 Sep 2018, 10:12 am
At this time, Class B-2 shares are still scheduled to convert to AFIN Class A shares on January 15, 2019, as previously planned. [read post]
1 Sep 2009, 2:35 am
We are a "double bottom line" company that tracks financial and social impact performance and strives to maximize both. [read post]
5 May 2015, 8:00 am
B. [read post]
26 Sep 2022, 3:10 pm
Trans Ova Genetics, L.C. (2018) conflicts with the Supreme Court decisions in B&B Hardware, Inc. v. [read post]
26 Sep 2022, 3:10 pm
Trans Ova Genetics, L.C. (2018) conflicts with the Supreme Court decisions in B&B Hardware, Inc. v. [read post]
24 Jul 2023, 8:27 am
Eric B. [read post]
26 Apr 2011, 8:53 am
On Friday, April 22, 2011, the SEC released its study and recommendations regarding how the Commission could reduce the burden of complying with Section 404(b) of the Sarbanes-Oxley Act for companies whose market capitalization is between $75 and $250 million, while maintaining investor protections for such companies. [read post]
8 May 2020, 9:33 am
At corporate records for Company “A,” Person “A” &/or Person “B” indicated Person “B” was the owner. [read post]
9 May 2007, 1:32 am
Rule 30(b)(6) depositions offer real opportunity for the smart defendant. [read post]
26 Feb 2013, 6:00 am
Author Michael B. [read post]
17 Dec 2017, 9:07 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Jerry Guttman (Guttman), operating under the d/b/a Guttman Financial Group, in November 2017, was barred from the financial industry by FINRA concerning allegations that he sold more than $7,000,000 worth of membership interests in at least six different limited liability companies to 38 customers without proper disclosure. [read post]
16 Feb 2010, 12:15 am
“A” is being managed by “B” and “B” is a majority group. [read post]
