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11 Aug 2017, 7:24 am
“Net price paid” is the gross purchase price paid by stockholders less selling commissions and dealer manager fees. [read post]
6 Jun 2022, 9:03 pm
The implementation of a new global food safety strategy will be a challenge, according to a member of the World Health Organization’s (WHO) Technical Advisory Group on Food Safety. [read post]
7 Mar 2023, 7:35 am
Examinations focus on core areas of the advisory business including custody, portfolio management, brokerage and execution, conflicts of interests, and advisory fees. [read post]
6 Jan 2016, 3:48 am
Fenway Partners and Fenway Consulting Partners were both owned and managed in large part by respondents Peter Lamm, William Smart, Timothy Mayhew, and Walter Wiacek. [read post]
11 May 2021, 5:46 am
Prior to joining Marks Baughan, John was Managing Director in the Global Industrials Group and European Head of Technology Investment Banking for HSBC Bank plc where he was responsible for leading HSBC’s coverage of the European Technology sector. [read post]
5 Feb 2010, 7:10 am
The advisory groups recommended that their clients, including State Street’s own pension plan, redeem their investments. [read post]
5 Sep 2024, 6:10 am
The post SEC Hits 26 Firms with $390 Million in Fines appeared first on The White Law Group. [read post]
31 Jul 2013, 5:10 pm
Hofmeister was the trustee of the four pension plans, and Tew was managing director of their investment service provider, Bluegrass Investment Management LLC. [read post]
19 Jul 2017, 7:57 am
If so, The White Law Group may be able to help you recover your losses by filing FINRA Arbitration claim against the brokerage firm that sold you the investment. [read post]
26 Jun 2024, 6:58 pm
Woods also ran the registered investment advisory firm Southport Capital (Livingston Group Asset Management Company) while he was with Oppenheimer. [read post]
23 Nov 2022, 8:48 am
Barndollar’s RIA clients reportedly paid advisory fees to the RIA on the assets held in their advisory accounts, including the alternative investments that Barndollar recommended and/or facilitated. [read post]
14 Sep 2023, 12:21 pm
SEC Order – Elm Partners Management LLC SEC Order – Hansen and Associates Financial Group Inc SEC Order – Linden Thomas Advisory Services LLC SEC Order – Macroclimate LLC SEC Order – McElhenny Sheffield Capital Management LLC SEC Order – MRA Advisory Group SEC Order – Trowbridge Capital Partners LLC [read post]
5 Aug 2019, 10:38 am
GPB Private Placements FundsGBP Capital Holdings is an alternative asset manager that invests in waste management and car dealerships. [read post]
27 Jan 2012, 8:14 am
The Burdensome Data Collection Relief Act, HR 1062, is currently awaiting action by the full House of Representatives.The corporate disclosure regime is designed to provide information that is useful to investors when making investment decisions, noted the groups. [read post]
7 May 2012, 4:03 pm
The hedge fund group emphasized that this long-standing policy of permitting knowledgeable employees of an investment manager to invest in a private fund is critical to meeting the demands of institutional investors, which seek to have their interests aligned with the interests of the fund’s principals and the employees of the fund’s manager. [read post]
7 Oct 2016, 8:35 am
The SEC Enforcement Division further alleges that Balter falsely told clients invested in his affiliated mutual fund they would not pay both advisory fees and fund management fees, yet he charged both fees anyway. [read post]
23 Sep 2016, 8:48 am
Texas-based broker-dealer Investment Professionals Inc. [read post]
11 Oct 2018, 5:03 pm
LendingClub Asset Management and Its Executives to Pay $4.27M San Francisco based investment advisory company LendingClub Asset Management, its founder Renaud Laplanche, and ex-CFO Carrie Dolan will settle SEC charges accusing them of improperly directing investors’ money to parent firm LendingClub Corp. [read post]
17 May 2016, 4:24 am
The Vistria Group — Founded in 2013, Vistria focuses on making investments in middle-market companies. [read post]
26 Dec 2013, 5:53 pm
A Fellow in the American College of Employee Benefit Council, immediate past Chair of the American Bar Association (ABA) RPTE Employee Benefits & Other Compensation Group and current Co-Chair of its Welfare Benefit Committee, Vice-Chair of the ABA TIPS Employee Benefits Committee, a council member of the ABA Joint Committee on Employee Benefits, and past Chair of the ABA Health Law Section Managed Care & Insurance Interest Group, Ms. [read post]
