Search for: "Duke Investments, LLC"
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10 Jul 2020, 5:58 am
Kay, Pay Governance LLC, on Thursday, July 9, 2020 Tags: Equity-based compensation, Executive Compensation, Incentives, Management, Stock options, Tax Cuts and Jobs Act, Taxation What Board Members Need to Know about the “E” in ESG Posted by Sheila M. [read post]
11 Jun 2020, 3:55 am
Aurelius Investment, LLC, in which the court upheld the structure of Puerto Rico’s Financial Oversight and Management Board, “no justice took issue with the 1st Circuit’s application of the de facto officer doctrine. [read post]
5 Mar 2020, 1:49 pm
The Seagal Enforcement Action On February 27, 2020, the SEC filed its third crypto-related 17(b) case, settling charges against famed action star Steven Seagal for failing to disclose payments he received for promoting an investment in an ICO conducted by Bitcoiin2Gen (B2G). [read post]
22 Nov 2019, 5:51 am
Spencer Stuart Board Index Posted by Julie Hembrock Daum, Laurel McCarthy, and Ann Yerger, Spencer Stuart, on Monday, November 18, 2019 Tags: Board composition, Board turnover, Boards of Directors, Director qualifications, Diversity, Institutional Investors, Management, Surveys Judicial Deference on Executive Compensation Decisions Posted by David Berger, Lori Will, and Brad Sorrels, Wilson Sonsini Goodrich & Rosati, on Tuesday, November 19,… [read post]
8 Nov 2019, 3:00 am
His Ukraine investigation has now been invested with all the hopes and dreams that Democrats once placed in the special prosecutor Robert Mueller’s Russia probe. [read post]
1 Nov 2019, 6:00 am
Investment Management: Compliance Developments & Calendar for Private Fund Advisers Posted by Jason M. [read post]
24 Oct 2019, 2:40 pm
Telegram seeks to obtain the benefits of a public offering without complying with the long-established disclosure responsibilities designed to protect the investing public. [read post]
27 Sep 2019, 2:49 am
Windy City Innovations, LLC, Nos. 2018-1400 et al. [read post]
13 Sep 2019, 5:49 am
Morley (Yale Law School), on Tuesday, September 10, 2019 Tags: Arbitrage, Disclosure, Exchange-traded funds, Investment Company Act, SEC, Securities regulation, Transparency Proxy Plumbing Recommendation Posted by Anne Sheehan and John C. [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]
29 May 2019, 5:06 pm
John Reed Stark In recent days, a number of leading retailers have announced that they are initiating processes to allow consumers to complete purchase transactions using bitcoin or other cryptocurrencies. [read post]
22 May 2019, 3:56 am
., states that a security is an investment contract in which a person 1) invests their money; 2) in a common enterprise; 3) with an expectation of profits; 4) based on the efforts of the promoter or a third party. [read post]
20 May 2019, 11:02 am
Christopher Duke Bennet (CRD#: 2510231) is a former registered broker and investment advisor whose last employer was J.J.B. [read post]
3 May 2019, 6:38 am
Why it matters: Vanguard’s Investment Stewardship Commentary Posted by Glenn Booraem, Vanguard, on Wednesday, May 1, 2019 Tags: Boards of Directors, Engagement, ESG, Index funds, Institutional Investors, Long-Term value, Shareholder voting, Stewardship, Vanguard Accounting Class Actions Filings and Settlements—2018 Review and Analysis Posted by Elaine Harwood, Frank Mascari, and Laura Simmons, Cornerstone Research,… [read post]
24 Apr 2019, 12:40 pm
The 15 individuals are: Daniel Broyles Michael Duke Richard Bohnsack Charles Davis Joel Duncan Mark Parman Paula Saccomanno William Roth Billy Ray Statham, Jr. [read post]
22 Apr 2019, 9:00 am
Duke worked for a drug compounding company based in Mississippi. [read post]
18 Feb 2019, 2:34 pm
” The order also halted ongoing “pre-ICO” sales by the company, Blockvest LLC and its founder, Reginald Buddy Ringgold, III. [read post]
4 Feb 2019, 2:18 pm
The complaints accused the Duke of compelling its 403(b) plan to sustain recordkeeping costs that were unreasonable even as investment options failed to perform well. [read post]
26 Jan 2019, 6:49 am
On November 30, 2018, the Commodity Futures Trading Commission (“CFTC”) lost its bid to hold Don Wilson and DRW Investments, LLC (collectively, “DRW”) liable for open-market manipulation. [read post]
24 Jan 2019, 2:36 pm
John Reed Stark Among the agencies largely closed by the current partial U.S. federal government shutdown is the U.S. [read post]
