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14 Nov 2019, 6:14 am
Evercore acted as sole financial advisor and capital markets advisor to The Carlyle Group investment vehicles that are KLD stockholders. [read post]
13 Nov 2019, 12:58 pm
If you are concerned about your investments at the recommendation of your financial advisor, please call the securities attorneys at The White Law Group at 888-637-5510 for a free consultation. [read post]
12 Nov 2019, 2:53 pm
For more up-to-date coverage from Tax Controversy and Financial Crimes Report, please subscribe by clicking here. [read post]
12 Nov 2019, 7:37 am
SSEK Investigating Ladenburg Thalmann & Triad Advisors Over GPB Capital Investor Claims In its quarterly report to the US Securities and Exchange Commission (SEC), Ladenburg Thalmann Financial Services notes that one of its brokerage firms, Triad Advisors, is the subject of six Financial Industry Regulatory Advisory (FINRA) arbitration complaints by customers seeking $1.65M in damages after the firm’s brokers sold them GPB private… [read post]
12 Nov 2019, 5:15 am
As we told you in March, Matthes was barred from acting as a broker or financial advisor in any capacity, according to the Financial Industry Regulatory Authority. [read post]
12 Nov 2019, 2:00 am
Concierge services. [read post]
11 Nov 2019, 1:32 pm
Morgan Securities LLC acted as financial advisor to Carbonite, and Skadden, Arps, Slate, Meagher & Flom LLP acted as legal advisor. [read post]
11 Nov 2019, 11:07 am
Below is a summary of her testimony, as compiled from the transcript of his deposition. *** The testimony of former Senior Advisor to the Secretary of State Michael McKinley, a career Foreign Service officer, focused on his concern over the lack of State Department support for Marie Yovanovitch after the call transcript was released. [read post]
11 Nov 2019, 8:52 am
According to Investment News today, Ladenburg Thalmann Financial Services Inc. reported Friday that since July, Triad Advisors, one if its broker-dealers, has been named in six customer arbitration complaints seeking $1.65 million in damages. [read post]
11 Nov 2019, 8:21 am
Toward these ends, NY selected a mix of cryptocurrency corporate actors and financial services experts. [read post]
11 Nov 2019, 2:00 am
In fact, according to data from PwC, 72% of Millennial workers in the financial services industry are eager for overseas assignments. [read post]
10 Nov 2019, 7:32 am
This paved the way for the rapid growth and influence of proxy advisors such as Institutional Shareholder Services, Inc. [read post]
8 Nov 2019, 5:55 am
Securities and Exchange Commission, on Tuesday, November 5, 2019 Tags: Capital markets, Conflicts of interest, Corporate debt, Credit risk, Disclosure, LIBOR, Municipal securities, Ratings agencies, Ratings disclosure The Basis for ISS’ Lawsuit Against the SEC Posted by Steven Friedman, Institutional Shareholder Services, Inc., on Tuesday, November 5, 2019 Tags: Glass Lewis, Institutional… [read post]
8 Nov 2019, 2:00 am
The post Top Jobs Expected to Grow the Most By 2026 appeared first on HR Daily Advisor. [read post]
8 Nov 2019, 2:00 am
In this role, Keith is responsible for overseeing the strategic initiatives and business development efforts for national accounts across Aerotek’s Financial and Business Services sector. [read post]
7 Nov 2019, 9:38 am
Here are some ideas for how they can do that: Taking Care of Their Own Stuff Investing more in courageous and engaged governance and distributed leadership focused not only on the mission of the organization but on its core values and long-term sustainability and intergenerational equity.Adopting and dutifully enforcing a conflict of interest policy that helps assure board members and persons in positions of authority do not abuse such authority to benefit themselves or related… [read post]
6 Nov 2019, 10:30 am
appeared first on Michigan Employment Law Advisor. [read post]
6 Nov 2019, 6:08 am
Herrera, of Union City, N.J., and a purported former Financial Advisor with Wells Fargo Clearing Services in Jersey City, NJ, allegedly orchestrated a scheme which targeted elderly Spanish-speaking citizens, according to Reports from U.S. [read post]
6 Nov 2019, 6:08 am
Herrera, of Union City, N.J., and a purported former Financial Advisor with Wells Fargo Clearing Services in Jersey City, NJ, allegedly orchestrated a scheme which targeted elderly Spanish-speaking citizens, according to Reports from U.S. [read post]
6 Nov 2019, 3:00 am
First, the SEC announced a rule proposal that would impose disclosure & other obligations on proxy advisors. [read post]
