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1 Jul 2024, 12:22 pm
Did You Invest With Patrick Mendenhall? [read post]
15 Mar 2018, 6:22 am
The first panel, which is scheduled to take place from 9:10 to 10:20 a.m., will focus on each SEC program’s priorities for the year. [read post]
28 Nov 2023, 7:25 am
A customer dispute followed on 12/20/2022 with allegations of “Unsuitable recommendations; breach of contract and breach of fiduciary duty. [read post]
24 Jan 2016, 9:14 am
Before recommending investments in oil and gas and commodities related investments, brokers and advisors must ensure that the investment is appropriate for the investor and conduct due diligence on the company in order to understand the risks and prospects of the company. [read post]
21 Mar 2016, 5:31 am
The SEC has announced that it plans to in increase the number of examiners of investment advisers by almost 20% this year, bringing the number to 630. [read post]
9 Nov 2023, 6:29 am
A customer dispute filed on 10/20/2020 alleged that Wurdemann failed to disclose the risks of a structured note he purchased on 11/15/2017. [read post]
20 May 2019, 1:03 am
The US has announced its intent to invest in developing countries through recent legislation entitled, ‘Better Utilization of Investments Leading to Development Act of 2018’ or, the BUILD Act of 2018, although it has yet to be signed by the President. [read post]
30 Jun 2023, 7:14 am
Investments are fewer, but larger on average. [read post]
28 Nov 2016, 3:40 am
This accounts for more than half the $20 total billion (at most) paid to all licensors. [read post]
3 Nov 2014, 5:22 am
Being wrong is not the problem, but staying wrong is.I have been living on the Dainfern Golf Estate for more than 20 years. [read post]
10 Sep 2014, 11:53 am
A subsidiary of Johnson&Johnson as well recently invested $20 million in Viacyte.The firm’s treatment is scheduled to begin clinical trials this year. [read post]
10 Oct 2014, 12:35 pm
Each charge carries a maximum punishment of 20 years in federal prison and hefty fines.Spinosa is accused of facilitating Rothstein's fraud by giving investors a "false sense of security" and inducing them to invest hundreds of millions of dollars with Rothstein by lying about how much money was in Rothstein's bank accounts and who could withdraw it.Spinosa signed off on fraudulent so-called "lock letters" that led Rothstein's investors to believe… [read post]
19 Feb 2014, 7:00 am
• Retail investment to heat up: Jones Lang LaSalle predicts that retail demand will increase investment in retail property up to 20% in 2014, driven by power center popularity, unsatisfied 2013 demand and REITs putting retail portfolios onto the market. [read post]
15 Sep 2014, 2:46 am
Meanwhile, we all know that there are also many, many potential benefits to be derived from foreign investment in property - and other sectors - if these are properly managed.'We can just look at what Mauritius has done with the money earned from its IRS and RES property investment schemes for foreigners; or at Australia, where foreign investors can only buy into new housing developments... and if we do that, it becomes evident that the legislation being proposed is not only… [read post]
31 Jul 2015, 9:02 am
The Department had cited to substantial failures in the market for retirement advice, noting that IRA holders receive conflicted advice and can expect the investments to underperform by an average of 100 basis points per year over the next 20 years. [read post]
4 Jan 2016, 1:58 pm
For those of our readers who are interested in participating in the open comment process, submissions must be made on or before January 20, 2016 and may be filed online at https://www.sec.gov/cgi-bin/ruling-comments. [read post]
6 Apr 2016, 8:34 am
In response to comments from the ABA Working Group that policy should be more flexible, especially for mature companies, the limit for working capital or other unspecified uses has been increased to 20 percent for best efforts offerings. [read post]
31 Oct 2016, 12:01 pm
The firm, which prefers to make investments in companies with $20 million to $200 million in revenue and that are EBITA-positive or soon to be positive, considers minority or majority positions. [read post]
23 Feb 2011, 6:18 pm
Foreign-invested enterprises are now treated like domestic businesses for tax purposes. [read post]
14 Jan 2020, 1:25 pm
The Setting Every Community Up for Retirement Enhancement Act of 2019 (the “SECURE Act”), signed into law on December 20, 2019, may aid in securing retirements. [read post]
