Search for: "Portfolio Management & Investigations, LLC"
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7 May 2024, 7:35 am
He reportedly failed to cooperate with FINRA’s investigation, leading to his bar from the industry. [read post]
6 Feb 2014, 7:35 am
In January, 2009, Wife was wooed by Wachovia Securities, LLC to serve as a client financial advisor and a managing director of investments. [read post]
19 Jun 2020, 2:10 pm
They help financial institutions manage distressed assets, unwind transactions and prosecute and defend litigation. [read post]
20 Mar 2014, 9:54 am
The remaining income payments can vary depending on the performance of the managed portfolio. [read post]
20 Mar 2023, 11:59 am
” published on Jan. 25, 2021, one of the portfolio managers was asked about the risks of possibility of write-offs for investors and said that “principal trigger levels on contingent capital are low… the average European bank would need to lose almost two-thirds of its capital to breach contractual triggers. [read post]
24 Jan 2020, 1:00 am
”[10] The materialization of high-risk adverse events may not only prompt an event-driven securities class action but may also lead to a regulatory investigation by a government agency, as in the recent case of Under Armour Inc. in the U.S. [read post]
18 Sep 2019, 9:52 pm
The Payment Card Industry Security Standards Council (PCI SSC), an international organization founded by American Express, Discover Financial Services, JCB International, MasterCard Worldwide, and Visa Inc. in 2006, develops and manages certain credit card industry standards, including the PCI-DSS. [read post]
2 Mar 2009, 1:47 am
According to a February 27, 2009 article in the Financial Post (here), on February 25, 2009, Calgary-based furniture manufacturer has initiated a class action lawsuit in the Alberta Court of Queen’s Bench against Allen Stanford, Stanford International Bank, Stanford Group Company, Stanford Capital Management LLC, James M. [read post]
20 Oct 2023, 2:40 pm
Rules for all Private Fund Investment Advisers The Restricted Activities Rule restricts advisers from engaging in the following activities unless they are sufficiently disclosed or investor consent is obtained, as applicable: (i) allocating fees and costs from any governmental or regulatory investigation of the adviser to the fund; (ii) allocating regulatory or compliance fees, or fees or expenses associated with an examination, of the adviser to the fund; (iii) reducing carried interest… [read post]
3 Jul 2012, 1:47 pm
http://bit.ly/Q6l41Q (Morrison Foerster) The Convergence of Big Data and Social Media – http://bit.ly/LG54W5 (Sean Gelles) Vendor Views Industry Landscape 17a-4 llc’s DataParser™ Supports Enhancements to Bloomberg® Feed – http://bit.ly/Ld3B5e (PR Web) AccessData to License Software Connectors – http://bit.ly/LBFD8l (Evan Koblentz) Allen J. [read post]
7 Jan 2013, 6:00 pm
The SEC sued Marc Gabelli, the portfolio manager of GGGF, and Bruce Alpert, the Chief Operating Officer of Gabelli Funds, LLC (“Gabelli”), GGGF’s investment advisor. [read post]
8 May 2009, 10:00 am
Chennai Live 104.8 FM asks the Madras High Court: Indian Performing Rights Society Ltd & Ors v Branch Manager, Muthoot Finance Private Limited, Chennai & Ors (Spicy IP) Bombay High Court: Use of inventions for government purposes: Garware Wall Ropes v A I Chopra Engineers & Contractors, Konkan Railway Corporation (IP Frontline) Beware Mumbaikers: The Slumlord’s Act could detain you for a year for simply buying a pirated DVD (Spicy IP) (At Last... the 1709… [read post]
21 Apr 2023, 6:00 am
Ranking Member Pallone (D-NJ) disagreed with the criticism, commending the FTC on managing a large portfolio of issues with fewer than 1,400 employees. [read post]
22 Feb 2023, 1:07 pm
Disclosure is limited even for the two well-known, publicly traded litigation fund managers, Burford Capital and Omni Bridgeway; it is sparser still—and highly self-selective—for all the private funds involved. [read post]
18 Dec 2014, 9:17 am
Did the former employer waive a trade secrets claim against the employee because it decided not to investigate, even though it could have? [read post]
16 Feb 2021, 8:16 am
Rend Al-Rahim, former ambassador of Iraq to the United States and Olin Wethington, founder and chairman of Wethington International LLC. [read post]
23 Aug 2008, 1:23 am
: (Part 1 - SPICY IP), (Part 2 - SPICY IP) Global – Copyright International Federation of the Phonographic Industry (IFPI): ‘Three strikes’ effort hit worldwide home run: (Ars Technica), How to attribute a Creative Commons licensed work: (Molly Kleinman), Chrysalis disappoints, as new artists fail to incubate: (IP finance), DRM for streaming music dies a quiet death: (Electronic Frontier Foundation), (Techdirt) Events 26 August:… [read post]
29 Aug 2008, 1:25 pm
– Discussion of IPFrontline.com article ‘Understanding Intellectual Property Value’: (IP finance), How to make sure your IP strategy plan is not doomed to failure: (IP Asset Maximizer Blog) Improve venture capital returns with IP portfolio management: (Ezine @rticles) Global - Trade Marks / Domain Names / Brands Trade mark strategy – counterintuitive names: (IP Thinktank), ICANN Intellectual Property Constituency paper on sunrise… [read post]
16 Apr 2009, 1:44 pm
In this blog, I have documented misconduct by Patrick Byrne and his unprincipled management team going back almost ten years. [read post]
10 Feb 2012, 1:25 pm
Inc. and its subsidiary Morgan Stanley Smith Barney LLC were fined $1 million by FINRA for excessive markups and markdowns in corporate and municipal bond transactions. [read post]
