Search for: "Associated Investments"
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24 Oct 2017, 5:50 am
The nature of Ponzi schemes (or pyramid schemes) requires investors (who believe they have a strong investment) to tell friends, family and associates about the investments. [read post]
12 Oct 2007, 12:51 am
(3) No entity other than a real estate investment company under this Act shall use the name of “real estate investment company” or any other name confused therewith. [read post]
14 Apr 2020, 6:55 am
From March 2008 through August 2018 Lopez was associated with LPL Financial LLC. [read post]
29 Mar 2017, 1:34 am
View Investment Association consults on new code for charges and transaction costs disclosure, 27 March 2017 [read post]
23 Aug 2010, 5:36 am
Generally, the by-laws for a community association will permit the creation of committees. [read post]
14 Apr 2021, 9:55 am
The recent rise in SPACs does not change the high risks associated with them. [read post]
28 Mar 2014, 9:01 am
The Associate Editor/s will be expected to actively engage in the work of the Journal, its promotion and review process. [read post]
7 Sep 2010, 6:53 am
She also agreed that she will be barred her from future association with any investment adviser or broker-dealer. [read post]
7 Apr 2020, 6:00 am
Co-investments may offer LPs a bigger stake in investments of interest, without as much of the diligence and procedures typically associated with an investment opportunity. [read post]
24 Oct 2013, 6:16 am
Gotanda, Associate Dean for Faculty Research and Professor of Law at Villanova University School of Law, has published Consistently Inconsistent: The Need for Predictability in Awarding Costs and Fees in Investment Treaty Arbitrations, ICSID Review (Fall 2013) 28 (2): 420-437; Villanova Law/Public Policy Research Paper No. 2013-3039. [read post]
11 Apr 2019, 6:09 am
Investments in regtech will rise, as startups strive to help incumbent financial institutions reduce costs associated with complying with stringent regulations. [read post]
4 Aug 2017, 12:31 am
For example, if the bar association’s taxable income under 527(f) is the amount of net investment income ($30,000) because it is less than the aggregate amount expended for an exempt function ($50,000), the difference of $20,000 could be subject to the 6033(e) proxy tax. [read post]
24 Feb 2012, 6:31 am
Roth is a founding partner of Schulte Roth & Zabel LLP and chair of the firm's Investment Management Group. [read post]
25 Nov 2015, 1:45 pm
Do you want to buy a rental home in Windemere that may not allow you to have an investment vacation property based on the rules and regulations of the community or homeowners association? [read post]
27 Nov 2017, 3:51 pm
The Respondents consented to the entry of the Order and its associated findings of fact and conclusions of law. [read post]
28 Jun 2019, 7:49 am
In January 2016 a customer complained that Plotkin violated the securities laws by alleging that the financial advisor breached their fiduciary duty among other allegations associated with alternative investments causing. [read post]
20 Jul 2023, 2:09 am
FINRA Brokerage Firm Responsibilities involving DSTs When selling any investment, broker dealers are required to perform adequate due diligence on all investment recommendations. [read post]
8 Aug 2019, 7:01 am
Kohn & Associates If you have suffered investment losses in GPB Holdings II LP with Stephen A. [read post]
18 Jan 2021, 6:46 am
Claims of high returns with low or no risk are often associated with Ponzi schemes. [read post]
8 Apr 2022, 9:22 am
By Elena Eyber, J.D.The Securities Industry and Financial Markets Association (SIFMA), the Investment Adviser Association (IAA), along with other Associations, sent a joint letter to the SEC Chair Gary Gensler regarding the need for sufficient comment periods, cost benefit analysis and meaningful public input in the regulatory rulemaking process. [read post]
