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12 Mar 2021, 3:00 am
The decision follows discussions with Mercy Investment Services, which had filed a proposed shareholder resolution demanding to know how Valero’s lobbying aligns with global efforts to fight climate change. [read post]
10 Mar 2021, 11:53 am
If you are concerned about investments with Bradley Goodbred and LPL Financial, the securities attorneys at The White Law Group may be able to help you. [read post]
10 Mar 2021, 11:53 am
If you are concerned about investments with Bradley Goodbred and LPL Financial, the securities attorneys at The White Law Group may be able to help you. [read post]
18 Feb 2021, 9:15 am
District Judge Jesse Furman on Tuesday ruled that 10 asset managers for the lenders — which include Brigade Capital Management, HPS Investment Partners and Symphony Asset Management — don’t have to return $504 million that Citibank said it mistakenly transferred in August while trying to make an interest payment. [read post]
11 Feb 2021, 2:42 pm
IP assets Other important considerations/lessons learnedPanel:Michael Gulliford, Founder/Managing Principal, Soryn IP Capital Management, LLCPhil Hartstein, President and CEO, Finjan Holdings, Inc.Jeremy Pitcock, Founder, The Pitcock Law GroupRon Vaisbort, General Counsel & Corporate Secretary, IvaluaModerator: Dave Stevens, Stevens Law Group Panel Bios:Michael Gulliford, Founder/Managing Principal, Soryn IP Capital Management, LLCMichael… [read post]
4 Feb 2021, 5:01 am
The Department of Justice also recently banned the use of agency grants to purchase drones and other unmanned aerial systems from foreign groups “subject to or vulnerable to extrajudicial direction from a foreign government. [read post]
3 Feb 2021, 8:01 am
Caroyln Saacke, chief operating officer of NYSE Capital Markets, said, that excluding SPACs, there have 175 IPOs with a market cap of $250 million or less since 2016, most of which were in the healthcare sector.Saacke also said that investing in smaller companies wishing to go public is sometimes perceived as speculative because there are fewer financial controls and less experienced management. [read post]
28 Jan 2021, 7:29 am
Leonard formerly was with LAC Group a a client services customer success professional and spent 11 years at Thomson Reuters as librarian relations manager. [read post]
27 Jan 2021, 11:22 am
Instead of turning over proceeds of these tribal bonds to a specified investment manager, Galanis misappropriated the funds for their own personal use. [read post]
21 Jan 2021, 7:12 am
Continue reading › The post Exchange-Traded Product Probe Results in Fines for Investment Advisory Firms appeared first on RIA Compliance Blog. [read post]
15 Jan 2021, 1:48 pm
BlueCrest Capital Management Limited – In another enforcement action of international dimension, the SEC obtained a $170 million settlement from UK-based investment adviser BlueCrest Capital Management Limited over charges that it moved its top trades from its premier client fund to an in-house proprietary fund and then put the client’s funds under the control of an underperforming algorithm. [read post]
14 Jan 2021, 2:00 am
“PRIDE Industries has invested in employee resource groups, and a host of trainings, as well as a leadership program, and toastmasters to benefit all employees,” Lawson says. [read post]
14 Jan 2021, 2:00 am
“PRIDE Industries has invested in employee resource groups, and a host of trainings, as well as a leadership program, and toastmasters to benefit all employees,” Lawson says. [read post]
13 Jan 2021, 7:01 am
The firm has $1.0 billion under management and employs 97 across 53 states. [read post]
13 Jan 2021, 6:18 am
” Like many advisory firms, Cetera employs representatives who are “dually registered,” meaning they are broker-dealers and registered investment advisers. [read post]
10 Jan 2021, 5:39 am
Year M&A+I Events (Running Listing: November 2001 – Today) eDiscovery Mergers, Acquisitions, and Investments Event DateAcquired (Investee)Acquirer (Investor)Amount (Estimated $) 6-Jan-21VerQuRelativity 17-Dec-20DISCO (Investee)Comerica (Equity Investment)$40,000,000 4-Dec-20Nuix LImited (NXL) - IPOAustralian Stock Exchange (ASX) 3-Dec-20AccessDataExterro 1-Dec-20CicaydaTCDI 12-Nov-20Hyperion Global PartnersEpiq 10-Nov-20Digital ReasoningSmarsh 15-Oct-20DISCO… [read post]
8 Jan 2021, 5:52 am
Since the 2011 discovery, a group within the EPA has been trying to update the outdated Lead and Copper Rule of 1991 under intense political pressure. [read post]
1 Jan 2021, 6:14 am
(Chart 2) The Q4 2020 investment pulse rate (8) appears to be generally in line with previous Q4 investment pulse rates since 2015. [read post]
31 Dec 2020, 7:05 am
She assumed this role on June 15, 2020, and manages the Bank’s Development Economics Department. [read post]
28 Dec 2020, 8:14 am
., based in Des Moines, Iowa, is a dually registered investment adviser and broker-dealer with $15.9 billion under management. [read post]
