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21 Sep 2020, 8:53 am
The post Oaktree REIT, Inc. [read post]
20 Sep 2020, 8:21 pm
See Infomedia Group Inc. v. [read post]
16 Sep 2020, 6:00 am
Securities and Exchange Commission (SEC) announced that it obtained court approval of settlements with Telegram Group Inc. [read post]
15 Sep 2020, 3:03 pm
Heavy Voting Recap Facts: Bob Brain owns 75% of the outstanding common stock of Unicorn Enterprises, Inc. (75,000 of 100,000 outstanding shares). [read post]
15 Sep 2020, 1:11 pm
Previous employers include Wells Fargo Clearing Services, LLC (CRD#:19616) of Hauppage, NY, RBC Capital Markets, LLC (CRD#:31194) if Jericho, NY, and Morgan Stanley DW INC. [read post]
15 Sep 2020, 8:58 am
Joshua Stivers (Joshua Daniel Stivers CRD:#5708565) is a currently registered broker and investment advisor currently employed with Kalos Capital, Inc. [read post]
15 Sep 2020, 7:07 am
Almost five years after entering into an administrative consent order with Encore Capital Group, Inc., Midland Funding, LLC, Midland Credit Management, Inc., and Asset Acceptance Capital Corp. [read post]
10 Sep 2020, 11:24 am
These fraudulent cannabis investments are often distributed through networks of unregistered and unlicensed brokers who use aggressive sales tactics to solicit investor funds via cold-call, text message, or social media. [read post]
4 Sep 2020, 5:28 am
This may lower the overall tax rate in cases where the interest payments or capital gains are taxable in Denmark. [read post]
31 Aug 2020, 3:00 pm
Amtrust Financial Services Inc. in the U.S. [read post]
28 Aug 2020, 6:11 am
Nussbaum, and Igor Kirman, Wachtell, Lipton, Rosen & Katz, on Saturday, August 22, 2020 Tags: Capital formation, Equity offerings, Hedge funds, IPOs, Mergers & acquisitions, Private equity, Special purpose vehicles An Inflection Point for Stakeholder Capitalism Posted by Seymour Burchman and Seamus O’Toole, Semler Brossy Consulting Group, LLC, on Saturday, August 22, 2020 Tags: Corporate Social… [read post]
27 Aug 2020, 8:07 am
Plaid Inc. [read post]
17 Aug 2020, 4:36 am
Each accused the other of various breaches of fiduciary duty including use of company funds for non-business purposes. [read post]
14 Aug 2020, 6:29 am
Stulz (Ohio State University), and Zexi Wang (Lancaster University), on Thursday, August 13, 2020 Tags: Firm performance, Index funds, Institutional Investors, Market reaction, Peer groups, Repurchases Comment Letter to DOL Posted by Jeffrey P. [read post]
30 Jul 2020, 7:14 am
To preserve network competition in a market dominated by Visa Inc. and Mastercard Inc., the amendment also required issuers to make at least two unaffiliated debit networks available to merchants for transaction routing. [read post]
29 Jul 2020, 12:20 pm
Morgan Securities LLC Chase Investment Services Corp Christian Evans Morgan Stanley Highland Capital Funds Distributor, Inc. [read post]
24 Jul 2020, 6:10 am
Securities and Exchange Commission, on Thursday, July 23, 2020 Tags: Capital markets, Investor protection, Retirement plans, SEC, Securities enforcement, Securities regulation Statement by Chairman Clayton at Open Meeting to Adopt Amendments to the Proxy Solicitation Rules Posted by Jay Clayton, U.S. [read post]
21 Jul 2020, 12:45 pm
Filing a Complaint against your Brokerage Firm The White Law Group is investigating potential claims involving sales agents and broker-dealers who may have unsuitably recommended EcoVest Capital offerings such as EcoVest Total Return Fund to investors. [read post]
17 Jul 2020, 10:28 am
The senators addressed their inquiry letters about private-equity nursing home interests to Carlyle Group, Formation Capital, Fillmore Capital Partners and Warburg Pincus. [read post]
13 Jul 2020, 2:59 pm
Portfolio companies of a private equity fund can qualify for the program only if the borrower, the fund and all of its affiliated portfolio companies collectively pass one of the prongs of the eligibility test. [read post]
