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18 Mar 2016, 6:09 am
What This Means for Directors Posted by David Woodcock, Jones Day, on Thursday, March 17, 2016 Tags: Audit committee, Board leadership, Boards of Directors, Compliance & ethics, Corporate culture, Director liability,Engagement, Liability standards, Management, Misconduct, SEC, Securities enforcement, Securities Regulation [read post]
29 Feb 2016, 4:43 pm
For that reason, the Sixth Circuit found that plaintiffs did not have to make any allegations about management’s state of mind when the company and its management offered the challenged opinions. [read post]
29 Feb 2016, 6:43 am
Another contact with Morgan Stanley reported that a regional manager would like to automatically send paperwork for loans with every single new account form. [read post]
25 Feb 2016, 7:02 am
” – Rich Kinder, former President of Enron and founder of Kinder Morgan Mr. [read post]
25 Feb 2016, 7:02 am
” – Rich Kinder, former President of Enron and founder of Kinder Morgan Mr. [read post]
22 Feb 2016, 4:36 pm
This paper is intended for the insurance professional as an additional introduction to this increasingly relevant and ever evolving management liability product. [read post]
19 Feb 2016, 11:57 am
Morgan Keegan & Co., 2014 WL 1375038 (W.D. [read post]
3 Feb 2016, 9:42 am
These MainStay Cushing funds were said to have been marketed to investors and sold by financial advisors at brokerages such as Cetera Advisors LLC, Mid Atlantic Capital Corp., JPMorgan, Ameriprise Brokerage, Raymond James, RBC Wealth Management, Morgan Stanley, and Securities America Inc. [read post]
29 Jan 2016, 9:01 am
For example, TORCX, a fund that reportedly manages more than $1.23 billion in assets, has declined significantly in share price from its previous high of $19.52 in August 2014 according to recent quotes. [read post]
20 Jan 2016, 5:21 am
Morgan Investment Management Inc. [read post]
18 Jan 2016, 2:05 pm
In some cases, investors may be advised to invest substantial or even over-concentrated percentages of their assets in these products. [read post]
15 Jan 2016, 1:17 pm
Further, the publication included certain activities that do-not qualify, including: Timber processing, including pulp, paper, paper products, treated lumber, oriented strand board, plywood, and treated poles; Olefins produced from assets not depreciated under MACRS class 13.3 (Petroleum Refining); and the production and sale of methanol. [read post]
14 Jan 2016, 1:24 pm
On January 12, 2016, the Appellate Division, First Department, of the New York State Supreme Court affirmed a trial court order granting Morgan Stanley’s motion to dismiss claims brought by Dexia SA’s subsidiary FSA Asset Management LLC (“FSAM”). [read post]
11 Jan 2016, 11:12 am
Riewe’s tenure as Co-Chief, the Asset Management Unit brought enforcement actions that addressed a wide range of misconduct across the asset management industry. [read post]
9 Jan 2016, 8:18 am
Morgan Stanley Settles Charges in “Parking” SchemeMorgan Stanley Investment Management has agreed to pay $8.8 million to settle charges that one of its portfolio managers unlawfully conducted prearranged trading known as “parking” that favored certain advisory client accounts over others.Financial Advisor Charged in Market Manipulation CaseThe SEC amended its previous complaint in a market manipulation case to additionally name a Las Vegas-based… [read post]
27 Dec 2015, 6:23 am
The investment attorneys of Gana LLP are investigating potential recovery options for investors in the Third Avenue Focused Credit Fund (TFCIX) managed by Third Avenue Management LLC. [read post]
22 Dec 2015, 3:15 pm
Sometimes it is a sales or management practice that has been accepted or overlooked for years. [read post]
22 Dec 2015, 8:55 am
Bougiamas of the Asset Management Unit.SEC Press Release [read post]
21 Dec 2015, 5:00 am
Morgan Merrill Using Robots, Not Brokers Merrill Lowers Broker Compensation [read post]
1 Dec 2015, 1:41 pm
JP Morgan and UBS know that, and are scooping up Credit Suisse brokers.Today's latest defection, from IAG News "Two Credit Suisse teams managing over $1.4 billion in combined client assets passed on an offer to join Wells Fargo, choosing instead to move to J.P. [read post]
