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22 Mar 2020, 6:25 am
The opinion is styled, AXO Staff Leasing, LLC v. [read post]
7 Jun 2019, 6:58 am
In its 2018 decision in Encino Motorcars, LLC v. [read post]
22 Jun 2017, 7:22 am
In May 2016, Nuveen decided to wind up operations at Tradewinds after significant asset outflows followed when its president and chief investment officer left. [read post]
12 Nov 2020, 8:37 am
IronMag Labs, LLC (9th Cir. [read post]
7 Jan 2010, 12:30 pm
Schloss as the new Chief Investment Officer of the New York City Office of Comptroller. [read post]
15 Mar 2019, 12:26 pm
The Securities and Exchange Commission today charged Talimco LLC, a registered investment adviser, and Grant Gardner Rogers, the former chief operating officer of the firm, with manipulating the auction of a commercial real estate asset on behalf of one client for the benefit of another. [read post]
25 Nov 2012, 10:12 am
The Securities and Exchange Commission (the “SEC”) recently sanctioned an investment advisory firm for impeding examinations conducted by SEC staff. [read post]
2 May 2013, 5:09 am
Sansome Strategies collaborates with business management and staff to structure, implement, and maintain their compliance program. [read post]
10 Aug 2012, 3:43 pm
Norman IP Holdings, LLC v. [read post]
28 Aug 2015, 10:44 am
Advertised performance reports are a common focus for SEC enforcement staff. [read post]
4 Jan 2022, 6:12 am
Posted by John Ellerman and Mike Kesner, Pay Governance LLC, on Tuesday, January 4, 2022 Editor's Note: John Ellerman and Mike Kesner are partners at Pay Governance LLC. [read post]
18 Feb 2011, 2:03 pm
(“Polydigitech”) and Satistic, LLC (“Satistic”). [read post]
4 May 2012, 11:48 am
On May 2, 2012, Chief ALJ Charles E. [read post]
26 Apr 2012, 2:28 pm
On April 23, 2012, Chief ALJ Charles E. [read post]
23 Jan 2020, 7:04 am
LLC v. [read post]
6 Apr 2012, 2:23 pm
On March 27, 2012, Chief ALJ Charles E. [read post]
31 Aug 2012, 7:49 am
The review will be overseen by a new subcommittee of the NFA’s board, made up of its public representatives and headed by Todd Petzel, chief investment officer of Offit Capital Advisors LLC. [read post]
5 Apr 2011, 10:31 am
Wayne Miller Journal Staff Writer Col. [read post]
1 Jun 2012, 7:43 pm
On May 24, 2012, Chief ALJ Charles E. [read post]
28 Aug 2011, 8:51 pm
On August 23, 2011, Acting Chief ALJ Charles E. [read post]
