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2 Oct 2020, 4:50 am by Matthew L.M. Fletcher
Sugarman and Galanis replicated the Hughes scheme with their acquisition of Atlantic Asset Management LLC (“AAM”), an investment manager with $11 billion in assets under management. [read post]
1 Oct 2020, 3:37 am by Rob Robinson
Legal Support (eDiscovery and Computer Forensics Division)Business Intelligence Associates (BIA) 5-Dec-17HAYSTACK ID LLC (Investee)TCF Capital Funding (Support Of Knox Capital Holdings and Maranon Capital) in Recapitalization (Investor)$17.800,000 30-Nov-17E-STETEY 28-Nov-17AllegoryIntegreon 31-Oct-17Avalon Document Services (Merger)C:Dox (Merger) 23-Oct-17NexLP (Investment)Method Capital and Dundee Venture Capital (Investors)$3,000,000… [read post]
15 Sep 2020, 1:11 pm by Silver Law Group
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 by Silver Law Group
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 by William Rooks
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]
7 Sep 2020, 4:35 am by Peter Mahler
Its two partners, Robert Liss and Sage Systems, Inc., held 43.07% and 56.93% partnership interests, respectively. [read post]
4 Sep 2020, 5:28 am by Shannon O'Hare
This may lower the overall tax rate in cases where the interest payments or capital gains are taxable in Denmark. [read post]
24 Aug 2020, 4:08 am by Franklin C. McRoberts
Cluster, Inc. v Urban Green Mgt., Inc., 2020 NY Slip Op 04440 [1st Dept Aug. 6, 2020], the parties executed a limited partnership agreement (the “LP Agreement”). [read post]
17 Aug 2020, 4:36 am by Peter Mahler
The trial judge agreed with the freeze-out claim but found that dissolution was not feasible because the company’s main asset was its long-term contract with its sole customer. [read post]
14 Aug 2020, 6:29 am
Securities and Exchange Commission, on Friday, August 7, 2020 Tags: Asset management, Disclosure, Investor protection, Mutual funds, SEC, SEC rulemaking, Securities regulation Initial Perspectives and Implications of SEC Proxy Advisory Reform Posted by Adam O. [read post]
7 Aug 2020, 5:48 am
Karp, Paul, Weiss, Rifkind, Wharton & Garrison LLP, on Saturday, August 1, 2020 Tags: Disclosure, Environmental disclosure, ESG, Institutional Investors, SASB, Stewardship, Sustainability SEC Proposes Increase in Form 13F Reporting Threshold Posted by Steve Wolosky, Andrew Freedman, and Ron Berenblat, Olshan Frome Wolosky LLP, on Sunday, August 2, 2020 Tags: 13, Asset management, Disclosure, Financial… [read post]
3 Aug 2020, 6:37 am by Staff Attorney
Advisor Christopher Shaw (Shaw), currently employed by Pruco Securities LLC (Pruco) and formerly employed by Kalos Capital, Inc. [read post]
30 Jul 2020, 7:14 am by Kristian Soltes
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]
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]
22 Jul 2020, 3:07 pm by Kevin LaCroix
See Julia Homer & David Katz, WorldCom Whistle-blower Cynthia Cooper, CFO: Human Capital & Careers (Feb. 1, 2008),  https://www.cfo.com/human-capital-careers/2008/02/worldcom-whistle-blower-cynthia-cooper/. [read post]
17 Jul 2020, 10:28 am by luiza
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]