Search for: "Capital Management Securities"
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10 Dec 2019, 10:53 am
Claims may be brought in securities arbitration before FINRA. [read post]
24 May 2020, 7:11 am
Securities and Exchange Commission supporting greater human capital disclosure and asserting the importance of human capital management in assessing the potential value and performance of a company over the long term. [read post]
7 Mar 2018, 6:44 am
" The committee will hear testimony from the following witnesses: Brenda Farrell, Director of DOD Strategic Human Capital Management at the Government Accoutnability Office (Prepared Testimony) Kevin Phillips, President and CEO of ManTech International Corporation (Prepared Testimony) Jane Chappell, Vice President of Global Intelligence Solutions at Raytheon (Prepared Testimony) David Berteau, President and CEO of Professional Services Council (Prepared… [read post]
26 Mar 2010, 10:36 am
The court-appointed receiver in the case later revealed that Medical Capital had collected $323 million in fees for managing its unprofitable loans. [read post]
4 May 2017, 11:12 am
The post Griffin Capital Redwood Investors LLC Tenants in Common Investigation appeared first on White Securities Law. [read post]
8 Jun 2007, 9:00 am
The Securities and Exchange Commission has obtained emergency relief, including an asset freeze, against a Massachusetts hedge fund manager named Lydia Capital, LLC based in Boston, Massachusetts, and its two principals, Glenn Manterfield of Sheffield, England and Evan Andersen of Boston, Massachusetts. [read post]
25 Aug 2015, 1:55 pm
But branch managers need a detailed plan of action.First, finances must be considered does the manager have enough capital and patience to spend an estimated eight months or longer building a practice without significant return? [read post]
3 Jan 2021, 7:28 am
It Was COVID (BrokeAndBroker.com Blog)SEC Charges Equialt Managing Director of Investments for Unlawful Sales of Securities to Elderly Retail Investors (SEC Release)SEC Charges Individuals with Fraud for Misappropriating Investor Funds (SEC Release)FINRA Orders Worden Capital Management LLC to Pay More than $1.2 Million in Restitution to Customers Whose Accounts Were Excessively Traded / Firm Also Fined $350,000 for Failing to Reasonably Supervise Recommended… [read post]
10 Oct 2011, 12:48 pm
As always, you should consult an attorney who is familiar with securities regulatory issues in assessing whether your particular fund management business is required to register with the SEC. [read post]
23 Mar 2023, 7:15 am
The Act amended the Securities Exchange Act of 1934 to establish an independent Office of the Advocate for Small Business Capital Formation (the “Office”) within the Securities and Exchange Commission (“SEC”). [read post]
25 Mar 2020, 9:27 am
” Annaly Capital Management, Inc. engages in the investment and financing of residential and commercial assets, according to Market Watch. [read post]
19 Sep 2018, 1:29 pm
The securities attorneys at Gana Weinstein LLP are currently investigating Aeon Capital Inc (Aeon Capital) broker Wayne Miller (Miller). [read post]
18 Oct 2018, 12:13 pm
As recently reported, the Massachusetts Securities Division (the “Division”) has commenced an investigation into the sales practices of some 63 independent broker-dealers who offered private placements sponsored by alternative asset manager GPB Capital Holdings, LLC (“GPB”). [read post]
25 Mar 2013, 8:56 pm
Because capital raising is such a critical function for middle market companies, we designed this series to introduce their management teams to some of the fundamental concepts in securities law. [read post]
2 May 2024, 12:35 pm
SEC Charges RBC Capital with Unfair Dealing September 2021 RBC Capital Markets agreed to pay over $800,000 to settle charges brought by the Securities and Exchange Commission (SEC) for unfair dealing in municipal bond offerings. [read post]
12 Jul 2021, 2:39 pm
Capital Steps Apartment Complex Shooting in Austin, TX Leaves Two People Injured. [read post]
20 Jul 2016, 11:30 am
Following the hosting of a rambunctious Fourth of July party in the Hamptons, Moore Capital Management has fired fund manager Brett Barna. [read post]
29 Apr 2009, 12:29 pm
Treasury will consider suggestions from Fund Managers to raise equity capital from retail investors. 3 year lock up period **** Q&A on the Program Legacy Securities FAQs How are Legacy TALF and the Legacy Securities PPIP related? [read post]
21 Oct 2010, 6:59 am
Over the past five years, about 65% of all US equity managers failed to outperform their respective Russell Indexes, and 84% of fixed income managers failed to beat their respective Barclays Capital Indices. [read post]
1 Dec 2011, 3:34 pm
As always, you should consult an attorney who is familiar with securities regulatory issues in assessing whether your particular fund management business is required to register with the SEC. [read post]
