Search for: "Principal Financial Group, Inc.,"
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20 Dec 2013, 7:59 am
Thereafter, Kauffman was registered with MCL Financial Group, Inc. through December 2011. [read post]
27 May 2010, 5:08 am
WASHINGTON andmdash; The Financial Industry Regulatory Authority (FINRA) announced today that it has imposed a monetary sanction of $1.5 million against Citigroup Global Markets Inc. for supervisory violations relating to its handling of trust funds belonging to cemeteries in Michigan and Tennessee. [read post]
30 Mar 2012, 10:48 am
., Ltd. and Nintendo of America Inc. [read post]
21 Jun 2013, 3:30 am
Snyder Serves as executive vice chairman of North American Global Financial Advisory and co-head of the debt and restructuring group at Rothschild, Inc., a leading international investment banking and financial advisory firm where he is also Senior Managing Director. [read post]
20 Mar 2012, 1:15 pm
Nelson is a senior associate in the Financial Services Regulatory Group at Reed Smith LLP, resident in the Princeton and New York offices. [read post]
20 Jul 2012, 11:38 am
Greenberg Traurig and Capitol Hill Consulting Group filed lobbying termination reports with Congress earlier this month. [read post]
28 Nov 2023, 9:53 am
“The department is committed to preventing illegal financial relationships that undermine the integrity of our public health care programs. [read post]
28 Jun 2017, 7:35 am
Urban Outfitters and Free People have the same: (1) principal places of business; (2) headquarters; (3) consolidated financial reports discuss pooling finances; (4) legal department; (5) IT department; (6) construction department; (7) sourcing department; (8) production department; and (9) in-house attorney reporting to SEC. [read post]
13 Feb 2023, 5:59 am
In the following guest post, Brian Baney, Senior Vice President, Head of Management and Professional Liability Claims, Ascot Group, Peter Trochev, Senior Vice President, Financial Institutions, Ascot Group, Elan Kandel, Member, Bailey Cavalieri LLC and James Talbert, Associate, Bailey Cavalieri LLC, survey the current risk environment for private equity firms. [read post]
13 Jul 2023, 12:22 pm
During the following months, FINRA alleges that Kim actively misled the firm’s principals, representatives, and customers, into believing that the fund had purchased Company A shares at the $9.75 price. [read post]
16 Jun 2014, 5:59 am
” Humana Inc. v. [read post]
12 May 2015, 2:47 pm
RCNs are notes whose repayment of principal is linked to the lowest value of the reference security during the RCN’s term. [read post]
16 Jan 2012, 4:42 pm
Jeffrey Alan Smith with Accelerated Capital Group in Irvine, California, was suspended from association with any FINRA member in any principal capacity for 20 business days in connection with a finding by FINRA that Smith failed to effectively supervise the activities of the firm's associated persons. [read post]
9 Dec 2014, 6:18 am
Seat Exchange had only one director, who also owned 21.5% of the company and the placement agent for offering was Chicago Investment Group (CIG). [read post]
12 May 2015, 2:39 pm
RCNs are notes whose repayment of principal is linked to the lowest value of the reference security during the RCN’s term. [read post]
6 May 2014, 6:30 am
Stack, CPA, Principal, Amaxx Risk Solutions, Inc. is an expert in employer communication systems and part of the Amaxx team helping companies reduce their workers compensation costs by 20% to 50%. [read post]
20 Feb 2009, 6:00 am
Sweress, Principal/Partner of Pinnacle Financial Group, Inc., Peter Rubin, President/CEO of The Coral Company and Spencer N. [read post]
8 Oct 2009, 4:02 am
These are my notes from this session: Moderator: Steve Felix, Head of Client Relations-Real Estate, Aviva Investors Ira Bergstein, Principal & CFO, Palisades Financial, LLC Jack Foster, Head of Real Estate, Franklin Templeton Real Estate Advisors Asha Richards, Vice President & General Counsel for the Private Equity Funds Group, Brookfield Asset Management Inc. [read post]
27 Apr 2022, 9:59 am
In 2020, the company launched a new offering called the Liquidity Bond 2020, constituting secured debt of GWG Holdings, Inc. [read post]
8 Dec 2016, 1:45 pm
Puzder principally resolved Karcher’s financial problems by putting together a transaction with William P. [read post]
