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24 Nov 2021, 8:01 am
These industry tailwinds, alongside the greater adoption of legal technology on an industry-wide basis and need for providers with both proprietary software and human capital, will organically broaden our TAM. [read post]
24 Nov 2021, 12:27 am
The SEC also reportedly barred the CEO from the securities industry. [read post]
22 Nov 2021, 1:41 pm
SEC also barred Singal from the securities industry. [read post]
15 Nov 2021, 10:39 am
No. 5065 (Nov. 19. 2018) (alleging that the adviser inconsistently applied tiered “breakpoints” that reduced advisory fees as the total amount of client assets under management increased and failed to aggregate or “household” related account balances of the same client and clients within the same household for the purposes of achieving the advisory fee breakpoint discounts); In re Barclays Capital Inc., Advisers Act Rel. [read post]
15 Nov 2021, 10:39 am
No. 5065 (Nov. 19. 2018) (alleging that the adviser inconsistently applied tiered “breakpoints” that reduced advisory fees as the total amount of client assets under management increased and failed to aggregate or “household” related account balances of the same client and clients within the same household for the purposes of achieving the advisory fee breakpoint discounts); In re Barclays Capital Inc., Advisers Act Rel. [read post]
12 Nov 2021, 7:57 am
Though Chinese firms are poised to capitalize on the opportunity this concept presents, they may face a significant hurdle in the race to the metaverse—their government. [read post]
11 Nov 2021, 2:07 pm
Record-Setting Equity Markets and Low Litigation Rates During 3Q of 2021 and 4Q’s kick-off, liquidity permeates the capital markets leading public corporations trading in the U.S. markets to reach $50 trillion in aggregate market capitalization.[12] This is about $20 trillion more than one year ago (~67% increase in market cap during a global pandemic…) and the Federal Reserve is reluctant to restrict the money supply by keeping the federal funds rate at… [read post]
11 Nov 2021, 5:00 am
Who is/was your biggest influence in the industry? [read post]
10 Nov 2021, 1:14 pm
Silver Law Group is investigating Chegg, Inc. [read post]
9 Nov 2021, 12:46 pm
His previous employers include Rockwell Global Capital LLC (CRD#:142485), also of Danbury, Source Capital Group, Inc. [read post]
9 Nov 2021, 6:32 am
He has been in the industry since 1984. [read post]
8 Nov 2021, 1:27 pm
Henrique Lucena Laidlaw & Company Morgan Stanley Lionel Scott Arive Capital Markets Cape Securities Inc. [read post]
8 Nov 2021, 1:17 pm
CapitalQuest Securities, Inc. [read post]
8 Nov 2021, 1:01 pm
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Arely Alvarez Merrill Lynch, Pierce, Fenner & Smith Incorporated Bradley Holts World Capital Brokerage, Inc. [read post]
7 Nov 2021, 7:09 am
FINRA Takes Victory Lapse in Aegis Capital Regulatory Settlement (BrokeAndBroker.com Blog)Justice Department Sues Uber for Overcharging People with Disabilities (DOJ Release)Management Consulting Firm Partner Charged In Insider Trading Scheme / Defendant Was a Lead Consulting Firm Partner Advising an Investment Bank on Its Acquisition of GreenSky, Inc. [read post]
7 Nov 2021, 7:09 am
FINRA Takes Victory Lapse in Aegis Capital Regulatory Settlement (BrokeAndBroker.com Blog)Management Consulting Firm Partner Charged In Insider Trading Scheme / Defendant Was a Lead Consulting Firm Partner Advising an Investment Bank on Its Acquisition of GreenSky, Inc. [read post]
3 Nov 2021, 12:34 pm
(CRD#:29087), Winter Haven, FL08/02/2018 – 06/20/2019, TAYLOR CAPITAL MANAGEMENT INC. [read post]
3 Nov 2021, 8:07 am
(CRD#:7870), MORRISTOWN, NJ07/19/2010 – 09/16/2013, FIDELITY BROKERAGE SERVICES LLC (CRD#:7784), WAYNE, NJ12/01/2008 – 05/19/2010, BARCLAYS CAPITAL INC. [read post]
1 Nov 2021, 6:29 am
In 2015, BlackRock Inc. and Vanguard Group were both top-five owners in over half of the publicly listed firms in the U.S. and Canada (Park et al. 2019). [read post]
29 Oct 2021, 9:01 am
Antitrust investigators are looking into the financial incentives that Visa gave Square Inc., Stripe Inc. and PayPal Holdings Inc., the people said. [read post]
