Search for: "Alliance Capital Management LLC"
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21 May 2021, 5:54 am
Evidence from Workplace Safety and Productivity Tradeoffs in the Coal Industry Posted by Erik Gilje (The Wharton School) and Michael Wittry (Ohio State University), on Wednesday, May 19, 2021 Tags: Agency costs, Decision making, Human capital, Information asymmetries, Management, Ownership structure, Private firms, Public firms, Risk Statement by Commissioner Peirce on S&P Dow Jones Indices LLC Posted by Hester M. [read post]
21 Apr 2021, 9:37 am
PRIVATE CLIENT SERVICES, LLC ROYAL ALLIANCE ASSOCIATES, INC. [read post]
20 Nov 2020, 6:00 am
Mangino, Fried, Frank, Harris, Shriver & Jacobson LLP, on Saturday, November 14, 2020 Tags: Boards of Directors, Conflicts of interest, Corporate fraud, Corwin, Delaware cases, Delaware law, Disclosure, Fiduciary duties, Liquidity, Management, Merger litigation, Mergers & acquisitions, Private equity, Securities litigation, Shareholder suits Statement of Commissioners Peirce and Roisman on Andeavor… [read post]
21 May 2020, 6:40 am
According to FINRA Disciplinary actions for February 2020, the following individuals were suspended 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 Belesis, George Portfolio Advisors Alliance, LLC John Thomas Financial Berghausen, Joseph ADP Broker-Dealer, Inc Cetera Advisor… [read post]
19 May 2020, 6:49 am
Chicago-based Stoltmann Law Offices, P.C. is currently investigating claims on behalf of TCA Global Credit Fund and TCA Fund Management Group investors involving Royal Alliance advisor Mark Young, and Watts Capital, LLC and Thomas Watts. [read post]
30 Dec 2019, 3:00 pm
Digital Verdict Disco Discovery Litigation Services Diversified Legal Services Diversified Risk Management Doar Litigation Consulting Duff & Phelps Eisner Amper LLP Elite Document Technology Epiq (DTI) Ernst & Young LLP (Pangea) Esquire Solutions First Legal Investigations Forensic Data Services Fronteo FTI Consulting/Technology Gibson Arnold & Associates GlassRatner Advisory & Capital Group LLC Guidepost Solutions LLC H5 Haley Stuart, LLC… [read post]
13 Dec 2019, 6:39 am
The managing entity is EcoVest Capital, according to the Form D. [read post]
6 Sep 2019, 3:00 am
manager’s? [read post]
20 Aug 2019, 3:29 pm
Funds offered by GPB Capital Holdings LLC (“GPB”) have shown signs of distress for some time now. [read post]
19 Aug 2019, 7:28 am
John Reed Stark The Capital One data hack has attracted a great deal of attention, not least because of the size and extent of the breach, but also because the hacker apparently managed to steal data from The Cloud. [read post]
6 Aug 2019, 8:52 am
According to FINRA Disciplinary actions for July 2019, the following individuals were suspended 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 Bender, Charles III Suntrust Investment Services, Inc JP Morgan Securities LLC Bingham, Daniel Essex Securities LLC Investors… [read post]
1 Jul 2019, 12:46 pm
Merrill Lynch, Pierce, Fenner & Smith Inc Heilman, Peter Edward Jones High, Robert First Financial Equity Corp Chase Investment Services Corp Irizarry, Melissa LPL Financial LLC Invest Financial Corp LaBare, Richard Union Capital Company Morgan Stanley & Co Inc Mariampolski, Arnold AXA Advisors Ohel, Ziv CFD Investments, Inc Ameriprise Financial Services,… [read post]
1 Jul 2019, 12:43 pm
According to FINRA Disciplinary actions for June 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Andrews, Helen Morgan Stanley Barclays Capital Inc Andreyeva, Tatyana Westpark Capital, Inc Fordham Financial Management, Inc Basarian, Gary Royal Alliance Associates, Inc… [read post]
5 Apr 2019, 6:54 am
Digital Verdict Discovery Litigation Services Diversified Legal Services Diversified Risk Management Doar Litigation Consulting Duff & Phelps Eisner Amper LLP Elite Document Technology Epiq (DTI) Ernst & Young LLP Forensic Data Services FTI Consulting/Technology GlassRatner Advisory & Capital Group LLC Gibson Arnold & Associates Guidepost Solutions LLC H5 Hancock Firm HaystackID (Inspired Review) Haley Stuart, LLC Hire Counsel HP… [read post]
11 Mar 2019, 7:42 am
GPB Capital Holdings, LLC is a New York-based issuer of private placements offered under the “GPB” moniker. [read post]
5 Mar 2019, 10:03 am
Avere Financial Group, LLC Axiom Capital Management, Inc. [read post]
8 Feb 2019, 6:04 am
Posted by Salvatore Graziano, Michael Mathai, and Kate Aufses, Bernstein Litowitz Berger & Grossmann LLP, on Sunday, February 3, 2019 Tags: Exchange Act, Institutional Investors, SEC, Securities Act, Securities litigation, Securities regulation, Shareholder rights, State law, Supreme Court, U.S. federal courts CEO Pay Trends Around the Globe Posted by Andrew Ludwig, Equilar Inc., on Sunday, February 3, 2019 … [read post]
17 Jan 2019, 9:34 am
Funding The Incubator Network by Circulate Capital to develop and promote technologies, business models, and entrepreneurs that prevent ocean plastic waste and improve waste management and recycling, with the intention of creating a pipeline of projects for investment, with an initial focus on Southeast Asia. [read post]
30 Dec 2018, 3:03 am
2018 was another busy busy year in the world of copyright, and a continuing global 'theme' was the ongoing battle between 'big tech' and 'big content', with the likes of Google and YouTube continuing to lobby extensively against planned reforms, bringing onboard (some) of the creative community - whilst the 'big content' (including film companies, music companies, the games sector and television) rolled out other creators - and finally seemed to be… [read post]
27 Dec 2018, 8:56 am
First Line Solutions LLC, 566 F. [read post]
