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20 Sep 2024, 5:00 am
So now there is this footnote at the bottom of the website: University of Notre Dame and University of Notre Dame Athletics (“Notre Dame”) are not current clients of Howard Bailey Securities, LLC nor Howard Bailey Financial, Inc. [read post]
14 Jan 2019, 2:00 am
Bank’s pension plan sued the plan’s fiduciary in 2013 for, among other things, mismanaging the plan by investing 100 percent of it in equities and using expensive proprietary mutual funds to do so, including during the financial crisis of 2008. [read post]
28 Jun 2009, 7:51 am
The result is that illicit funds can be laundered and taxes evaded with little fear of detection and prosecution. [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]
11 Dec 2020, 6:01 am
Stulz (The Ohio State University), on Tuesday, December 8, 2020 Tags: Banks, Conflicts of interest, Financial institutions, Institutional Investors, Investment banking, Peer groups, Reputation, Retail investors, Stock analysts Some Thoughts for Boards of Directors in 2021 Posted by Martin Lipton, Wachtell Lipton Rosen & Katz, on Tuesday, December 8, 2020 Tags: Boards of Directors, Climate… [read post]
22 Mar 2019, 6:27 am
Reality Posted by Charles Nathan and Kal Goldberg, Finsbury LLC, on Monday, March 18, 2019 Tags: Accounting, Financial reporting, Firm performance, Long-Term value, Repurchases, Shareholder value, Short-termism Dual-Track Processes: How to Turbocharge Your Exit Posted by Michal Berkner, Josh Kaufman, and James Foster, Cooley LLP, on Tuesday, March 19, 2019 Tags: Change in control, Controlling… [read post]
3 Jul 2024, 10:44 am
In 2010, the SEC began investigating George Jarkesy, Jr., and an investment firm, Patriot28, LLC, that Jarkesy managed. [read post]
2 Oct 2011, 7:23 am
Morgan Securities structured and marketed). [read post]
1 Sep 2016, 7:56 am
The firm permitted the client to write checks against uncleared funds. [read post]
5 Feb 2021, 6:02 am
Failed Attempt to Secure Company Information Richard also pursued a claim that his father had wrongfully withheld information about the business from him in not complying with his requests for financial documents. [read post]
9 Jul 2010, 12:24 pm
So, of course, I was interested to see how the site was going to satisfy SEC regulations on registering securities. [read post]
17 Jun 2019, 2:09 pm
The district court later granted summary judgment in favor of Spec’s, holding that First Data materially breached the MSA when it held funds to reimburse itself for the breach assessments. [read post]
11 Jan 2022, 11:45 am
Most of the funds recovered arose from cases originated by whistleblowers under the qui tam provisions of the False Claims Act. [read post]
11 Jan 2022, 11:45 am
Most of the funds recovered arose from cases originated by whistleblowers under the qui tam provisions of the False Claims Act. [read post]
7 Mar 2014, 6:47 am
FMR LLC, resolving a dispute over the scope of the whistleblower provision of the Sarbanes-Oxley Act, 15 U.S.C. [read post]
9 Jan 2013, 12:20 pm
Protecting investors and helping to ensure the integrity of the nation’s financial markets is at the heart of what we do every day. [read post]
26 Sep 2021, 7:46 am
Hamamoto, CEO and Chairman of DIamondHead Holdings Corp.; and Stephen Girsky, managing partner at VectoIQ LLC. [read post]
24 Jan 2024, 1:47 pm
National Securities Attorneys The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
26 Jul 2022, 12:09 pm
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 Seattle, Washington. [read post]
18 Jul 2009, 7:31 am
The financial crisis, the new administration, new SEC leadership, increased funding and the focus of Congress and the media have all combined to encourage heightened government scrutiny. [read post]
