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8 Sep 2023, 12:51 pm by The White Law Group
Ameriprise Financial Services Allegedly Overcharges Retirement Customers  Ameriprise Failure to Supervise Rep’s Conversion of Funds  September 2016 – FINRA fined Ameriprise Financial Services, Inc. $850,000 for its failure to detect and prevent the conversion of over $370,000 from five customer brokerage accounts by one of its registered representatives. [read post]
6 Sep 2023, 9:20 pm by The White Law Group
This settlement arises from allegations of improper expense reimbursements made to external advisors of Lodging Opportunity Real Estate Investment Trust and Lodging Fund REIT III Inc. [read post]
1 Sep 2023, 6:44 am by Silver Law Group
In a previous disclosure in Saw’s FINRA record, Saw took voluntary resignation from her employment with Cetera Investment Services on 5/31/21. [read post]
1 Sep 2023, 6:30 am
Evidence from a Natural Experiment Posted by Hwanki Brian Kim (Baylor University), Woojin Kim (Seoul National University), and Mathias Kronlund (Tulane University), on Tuesday, August 29, 2023 Tags: Corporate cash, investments, natural experiment, payout policy, tax, tax reform, wages Dealing with Activist Hedge Funds and Other Activist Investors Posted by Martin Lipton, Wachtell Lipton Rosen & Katz, on Tuesday, August 29, 2023 Tags: activist investors, Asset Managers, Mergers &… [read post]
1 Sep 2023, 6:30 am
Evidence from a Natural Experiment Posted by Hwanki Brian Kim (Baylor University), Woojin Kim (Seoul National University), and Mathias Kronlund (Tulane University), on Tuesday, August 29, 2023 Tags: Corporate cash, investments, natural experiment, payout policy, tax, tax reform, wages Dealing with Activist Hedge Funds and Other Activist Investors Posted by Martin Lipton, Wachtell Lipton Rosen & Katz, on Tuesday, August 29, 2023 Tags: activist investors, Asset Managers, Mergers &… [read post]
28 Aug 2023, 10:46 am by Wiggam Law
Continental Service Group (ConServe) Coast Professional, Inc. [read post]
25 Aug 2023, 7:02 am by Zak Gowen
And with the exception of some fixed-services, vendors like utilities that directly accept consumer bank-account payments, most merchants still need an intermediary to guarantee that a customer’s ACH funds will be available after goods are exchanged. . . . [read post]