Search for: "National Capital Management, LLC"
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26 Aug 2013, 6:20 am
Spier, Domenico de Sole Professor of Law at the Harvard Law School and Research Associate at the National Bureau of Economic Research. [read post]
5 May 2012, 9:49 am
Portico Management Group, LLC v. [read post]
10 Jun 2022, 6:33 am
Securities and Exchange Commission, on Thursday, June 9, 2022 Tags: Capital markets, Information asymmetries, Investor protection, Retail investors, SEC, Securities regulation [read post]
10 Jun 2022, 6:33 am
Securities and Exchange Commission, on Thursday, June 9, 2022 Tags: Capital markets, Information asymmetries, Investor protection, Retail investors, SEC, Securities regulation [read post]
4 Apr 2011, 9:02 am
$39,000 Independent Financial Group LLC $36,000 Capital Management Securities Inc [read post]
26 Oct 2023, 8:53 am
Morgan Securities LLC Albert Foronda Spartan Capital Securities, LLC Worden Capital Management LLC Jorge Baquero Spartan Capital Securities, LLC Eduardo Martinez National Securities Corporation PHX Financial, Inc. [read post]
17 Dec 2017, 3:28 pm
Madden v Midland Funding, LLC, 786 F.3d 246 (2d Cir. 2015), cert. denied, 136, S. [read post]
25 May 2019, 12:37 pm
Cubic Energy, Hilltop’s predecessor company, filed for bankruptcy in 2015 and emerged from bankruptcy in 2016 under the control of a group of bondholders led by funds managed by Anchorage Capital Group LLC. [read post]
3 Sep 2021, 5:46 am
Carlin, Wachtell, Lipton, Rosen & Katz, on Friday, August 27, 2021 Tags: Disclosure, Earnings management, Liability standards, Loss contingencies, SEC, SEC enforcement, Securities enforcement ESG and Incentives 2021 Report Posted by John Borneman, Tatyana Day, and Olivia Voorhis, Semler Brossy LLC, on Friday, August 27, 2021 Tags: Climate change, Cybersecurity, Diversity, Environmental… [read post]
16 Dec 2010, 8:46 am
$39,000 Independent Financial Group LLC $36,000 Capital Management Securities Inc [read post]
21 May 2018, 12:08 pm
Additionally, approximately 2.5% dealer manager fee and up to 1.0% distribution fee was also deducted from the primary offering price, and up to 1.5% of the proceeds from the sale of shares may have been allocated to the Advisor (Dividend Capital Total Advisors Group LLC) for incurring or paying offering expenses. [read post]
5 Jul 2019, 6:05 am
., on Friday, June 28, 2019 Tags: Boards of Directors, Capital structure, Controlling shareholders, Dual-class stock, Entrenchment, Firm performance, Institutional Investors, IPOs, Long-Term value, Management, Shareholder voting, Short-termism, Tech companies Spotlight on Boards Posted by Martin Lipton, Wachtell, Lipton, Rosen & Katz, on Friday, June 28, 2019 Tags: Board… [read post]
4 Nov 2009, 7:59 am
These comments can be found here. **** Brian Fitzgibbon - CEO of Fitzgibbon Toigo & CO., LLC Without placement agent assistance, some of the best fund managers may never get to market. [read post]
12 Apr 2019, 8:25 am
According to FINRA Disciplinary actions for February 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Arizmendi, Jose Silber Bennett Financial, Inc TCFG Wealth Management, LLC Barrick, Tabor FBL Marketing Services, LLC … [read post]
30 Dec 2021, 4:22 am
A second entity is then formed by the sponsor to enter into a lease agreement with the investors, pursuant to which the investors become the landlord of the subject property and the second entity becomes the property manager. [read post]
8 Jun 2009, 4:23 am
This sentence has a special Carret Asset Management LLC is a privately owned investment advisory firm significance for China, which refers to a policy started in the middle of 1990 to its worldwide competitive. [read post]
13 Oct 2010, 6:00 am
To date, sixteen firms have endorsed the Code: investment firms The Carlyle Group, Riverstone Holdings LLC, Pacific Corporate Group Holdings, LLC, HM Capital Partners I, Levine Leichtman Capital Partners, Access Capital Partners, Falconhead Capital, Markstone Capital Group, Ares, Freeman Spogli, Quadrangle, and GKM; placement agent Wetherly Capital Group; political consulting firm Global Strategy Group; lobbying firm Platinum… [read post]
10 Jun 2013, 10:04 am
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 Boca Raton, Florida. [read post]
29 Jul 2020, 12:30 pm
Nathaniel Clay Laidlaw & Company (UK) Ltd National Securities Corporation Alan Lau Wells Fargo Clearing Services, LLC Wells Fargo Investments, LLC Scott Levine Craft Capital Management LLC PHX Financial, Inc. [read post]
8 Jul 2015, 2:29 pm
SFX Financial Advisory Management Enterprises is wholly-owned by Live Nation Entertainment and specializes in providing advisory and financial management services to current and former professional athletes. [read post]
