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17 Jul 2019, 1:56 pm
The claim further alleges that LPL Financial LLC unsuitably invested the client in the following high risk private placements investments: FS Investments Corporation III (FSIC III) FS Investments Corporation IV (FSIC IV Corporate Capital Trust The FINRA claim seeks damages between $100,000 and $500,000. [read post]
17 Jul 2019, 8:22 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
14 Jul 2019, 4:56 pm
The news was widely covered by the national press, including the Independent, the BBC and The Guardian. [read post]
5 Jul 2019, 6:05 am
., on Friday, June 28, 2019 Tags: Boards of Directors, Capital structure, Controlling shareholders, Dual-class stock, Entrenchment, Firm performance, Institutional Investors, IPOs, Long-Term value, Management, Shareholder voting, Short-termism, Tech companies Spotlight on Boards Posted by Martin Lipton, Wachtell, Lipton, Rosen & Katz, on Friday, June 28, 2019 Tags: Board… [read post]
1 Jul 2019, 7:03 am
According to BrokerCheck records financial advisor Mark Kolta (Kolta), currently employed by Worden Capital Management LLC (Worden Capital) has been subject to at least 14 customer complaints and one employment termination for cause. [read post]
26 Jun 2019, 1:54 pm
Dish Network LLC, 160 F. [read post]
26 Jun 2019, 1:06 pm
Smith previously served as a managing director at Patomak Global Partners LLC, where she advised financial services firms, including broker-dealers, exchanges, banks, and asset managers, and public companies on regulatory policy, corporate governance, and compliance matters. [read post]
26 Jun 2019, 12:24 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
24 Jun 2019, 1:21 pm
In today’s episode, Victor tackles the question, “Are my financial advisors working in my best interest? [read post]
21 Jun 2019, 12:05 pm
Madyson Capital Management – “Madyson Investments”– Recovery of Investment Losses Are you concerned about your investment in Madyson Capital Management ? [read post]
4 Jun 2019, 10:24 am
According to the DI Wire, FS/KKR Advisor LLC, a partnership between FS Investments and KKR Credit Advisors LLC, are planning to merge four non-traded business development companies under its advisement. [read post]
3 Jun 2019, 7:11 am
The panelists included Joshua Ashley Klayman, Founder and Managing Member, Klayman LLC; Paul Brody, Principal, Ernst & Young; and Aaron Wright, Professor, Cardozo Law School. [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]
25 May 2019, 12:37 pm
Cubic Energy, Hilltop’s predecessor company, filed for bankruptcy in 2015 and emerged from bankruptcy in 2016 under the control of a group of bondholders led by funds managed by Anchorage Capital Group LLC. [read post]
24 May 2019, 6:01 am
Posted by Ira Kay and Blaine Martin, Pay Governance LLC, on Saturday, May 18, 2019 Tags: Executive Compensation, Firm performance, Incentives, Management, Pay for performance, Repurchases, Shareholder value, Short-termism A “Draft Review” as a Safeguard on Proxy Advisors Posted by Ted Allen and Gary A. [read post]
22 May 2019, 3:56 am
., cryptocurrency trading platforms that facilitate token sales for a fee likely meet the legal definition of broker-dealers and must follow the registration and licensing requirements for broker-dealers, alternative trading systems (ATS) or national securities exchanges. [read post]
21 May 2019, 7:30 am
Castleberry Financial Services Group LLC, managed by T. [read post]
15 May 2019, 6:39 am
According to reports on April 4, 2019, The Parking REIT Inc. has internalized its management platform by acquiring and assuming substantially all of the assets and liabilities from its former external manager, The Parking REIT Advisors. [read post]
25 Apr 2019, 9:07 am
The Securities and Exchange Commission today announced the inaugural members of the Small Business Capital Formation Advisory Committee. [read post]
19 Apr 2019, 5:59 am
The father was a member of the Unkechaug Indian Nation (Unkechaug) and the Shinnecock Tribe. [read post]
