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22 Oct 2020, 2:02 pm
See Atlantech Inc. v. [read post]
31 Oct 2020, 5:59 am
Associated Industries Insurance Company, Inc. [read post]
16 Oct 2015, 6:14 am
Craigslist, Inc. v. 3taps, Inc., supra. [read post]
26 Apr 2019, 3:00 am
Here’s an excerpt: The median level of support for environmental and social shareholder proposals as a percentage of votes cast rose from the middle single digits from 2000 until 2008 to 24% in 2018, representing record levels of support, according to proxy-advisory firm Institutional Shareholder Services Inc. [read post]
30 Nov 2011, 5:21 am
Capital Gains Research Bureau, Inc., 375 U.S. 180, 191, 194 (1963). [read post]
21 Jan 2022, 12:59 pm
At least one broker-dealer, Emerson Equity, works closely with GWG to help sell the bonds to the retail public. [read post]
11 Jan 2007, 12:23 am
Prudential Equity Group Inc. [read post]
20 Mar 2020, 8:00 am
China is expected to eliminate its foreign equity limits, which will allow US-owned services to participate in the securities market as full owners of firms as opposed to partial owners. [read post]
10 Apr 2023, 6:31 am
Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Monday, April 10, 2023 Editor's Note: Subodh Mishra is Global Head of Communications at Institutional Shareholder Services (ISS) Inc. [read post]
10 Apr 2023, 6:31 am
Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Monday, April 10, 2023 Editor's Note: Subodh Mishra is Global Head of Communications at Institutional Shareholder Services (ISS) Inc. [read post]
7 Jun 2022, 5:12 am
The claim further alleges that WestPark Capital, Inc. unsuitably invested its client in the high-risk GWG Series L Bond, securities sponsored by GWG Holdings, a Dallas-based financial services firm. [read post]
24 Jun 2024, 10:26 am
Supreme Court has granted certiorari in Dewberry Group, Inc. v. [read post]
17 May 2024, 6:30 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, May 17, 2024 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of May 10-16, 2024 Fee Variation in Private Equity Posted by Juliane Begenau (Stanford University), and Emil Siriwardane (Harvard Business School), on Friday, May 10, 2024 Tags: Fee Variation, GPs, LPAs, Private equity, SEC Investment Advisers and Sponsors Compliance Policies: Hot… [read post]
17 May 2024, 6:30 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, May 17, 2024 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of May 10-16, 2024 Fee Variation in Private Equity Posted by Juliane Begenau (Stanford University), and Emil Siriwardane (Harvard Business School), on Friday, May 10, 2024 Tags: Fee Variation, GPs, LPAs, Private equity, SEC Investment Advisers and Sponsors Compliance Policies: Hot… [read post]
1 Jul 2019, 12:40 pm
Equity Sales Company UBS Paine Webber Inc. [read post]
15 Jun 2022, 11:04 am
The claim further alleges that Center Street Securities, Inc. unsuitably invested its clients in the high-risk GWG Series L Bond, securities sponsored by GWG Holdings, a Dallas-based financial services firm. [read post]
15 Apr 2021, 10:51 am
Baggage Airline Guest Services, Inc., No. 20-1420; WPEM, LLC v. [read post]
22 Oct 2019, 10:26 am
According to FINRA Disciplinary actions for August 2019, the following individuals were barred 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 Carolyn Andrews UBS Financial Services Morgan Keegan & Company Meiewyn Avent Alliance-One Investments Metlife Investors Distribution Co… [read post]
31 Oct 2011, 12:36 pm
Larger ones were those involving Lehman Brothers Holdings Inc., Conseco Inc., CIT Group Inc., and Washington Mutual Inc. [read post]
31 Oct 2011, 3:42 am
Perpetual Trustee Company Limited v BNY Corporate Trustee Services Limited and Lehman Brothers Special Financing Inc; and Belmont Park Investments PTY Limited v BNY Corporate Trustee Services Limited and Lehman Brothers Special Financing Inc, heard 1 – 3 March 2011. [read post]
