Search for: "Mutual Securities, Inc."
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1 Aug 2019, 5:02 pm
However, this can be waived by mutual consent. [read post]
28 Jul 2019, 4:25 pm
On the other hand, I do enjoy stretching my creative lawyering skills.In Erwin Hymer Group North America, Inc. v. [read post]
26 Jul 2019, 1:24 pm
Two of the firms, Western International Securities and Park Avenue Securities, settled on the same day that the self-regulatory organization (SRO) announced the multi-firm resolution. [read post]
26 Jul 2019, 6:17 am
Dike, Cleary Gottlieb Steen & Hamilton LLP, on Thursday, July 25, 2019 Tags: Insider trading, Liability standards, Rule 10b-5, SEC, SEC enforcement, Section 10(b), Securities enforcement, US House The Future of Shareholder Activism Posted by Assaf Hamdani (Tel Aviv University) and Sharon Hannes (Tel Aviv University), on Thursday, July 25, 2019 Tags: Asset management, Boards of Directors, Capital… [read post]
25 Jul 2019, 1:54 am
The Commission also applauds the efforts of businesses to comply with the GDPR, which has undeniably resulted in challenges for some, but has also created a timely opportunity for organizations to enhance internal privacy and data security practices, as well as develop privacy-friendly services. [read post]
19 Jul 2019, 5:57 am
Karp, Paul, Weiss, Rifkind, Wharton & Garrison LLP, on Tuesday, July 16, 2019 Tags: Anti-corruption, Books and records, Compliance & ethics, DOJ, FCPA, International governance, SEC, SEC enforcement, Securities enforcement, Securities regulation, Wal-Mart Conflicted Mutual Fund Voting in Corporate Law Posted by Sean J. [read post]
15 Jul 2019, 12:05 pm
” The committee will call Jill Marie Bussey, Director of Advocacy at Catholic Legal Immigration Network, Inc.; Eric Cohen, Executive Director, Immigrant Legal Resource Center; Michael Hoefer, Chief of the Office of Performance and Quality, U.S. [read post]
14 Jul 2019, 8:28 am
Red Diamond, Inc., 2:18-cv-02039-RDP (N.D. [read post]
12 Jul 2019, 6:17 am
Posted by Ric Marshall, MSCI Inc., on Friday, July 5, 2019 Tags: Boards of Directors, Controlling shareholders, Dual-class stock, ESG, Institutional Investors, Lyft, Shareholder voting, Uber Director Independence and Oversight Obligation in Marchand v. [read post]
11 Jul 2019, 9:01 pm
The model seems to be a mutual fund in securities issued by corporations. [read post]
10 Jul 2019, 9:05 pm
Two years later, Janus Capital Group, Inc. v. [read post]
10 Jul 2019, 12:00 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]
10 Jul 2019, 10:41 am
The Securities and Exchange Commission barred Gonzalez-Seijo from the securities industry on July 5, 2019. [read post]
30 Jun 2019, 10:57 pm
This article was written by Jason Whyte, Director, Norton Rose Fulbright South Africa Inc [read post]
27 Jun 2019, 7:53 am
Department of Homeland Security, Homeland Security Investigations (HSI) on December 20, 2015, at the Port of Houston, Texas for violation of the Lacey Act and customs law were destroyed in accordance with a settlement agreement reached by the United States and the importer of the timber, Oregon-based Popp Forest Products Inc. [read post]
27 Jun 2019, 7:53 am
Department of Homeland Security, Homeland Security Investigations (HSI) on December 20, 2015, at the Port of Houston, Texas for violation of the Lacey Act and customs law were destroyed in accordance with a settlement agreement reached by the United States and the importer of the timber, Oregon-based Popp Forest Products Inc. [read post]
26 Jun 2019, 2:09 pm
Edward Earl Matthes (CRD#: 2788055) is a former registered broker and investment advisor whose last employer was Mutual Of Omaha Investor Services, Inc. [read post]
24 Jun 2019, 1:41 pm
” The committee will call Tristan Harris, Co-Founder and Executive Director, Center for Humane Technology; Rashida Richardson, Director of Policy Research, AI Now Institute; Maggie Stanphill, Director, Google User Experience, Google, Inc.; and Stephen Wolfram, Founder and Chief Executive Officer, Wolfram Research. [read post]
21 Jun 2019, 12:21 pm
., Financial Securities Network, NAP Financial Corporation, Marketing One Securities, and Mutual of Omaha Fund Management Company. [read post]
20 Jun 2019, 5:45 am
(relisted after the June 13 conference) Land of Lincoln Mutual Health Insurance Company v. [read post]
