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29 Aug 2023, 12:32 pm by The White Law Group
First Southwest Company, LLC and Southwest Securities, Inc. subsequently merged into what is now Hilltop Securities, Inc., in 2016. [read post]
3 Aug 2023, 11:22 am by The White Law Group
According to its FINRA Broker Report, the firm reportedly has 54 disclosure events on its broker record including 30 regulatory events, 16 arbitrations and 8 bonds. [read post]
27 Jun 2023, 9:01 pm by renholding
Staff Legal Bulletin No. 14L (“SLB 14L”),[8] issued in November 2021, reversed the staff’s views on paragraphs (i)(5)[9] and (i)(7),[10] which limit a company’s ability to exclude proposals if there are significant social policy issues.[11] While companies have not frequently sought to exclude proposals under paragraph (i)(5), paragraph (i)(7) was one of the most common bases for seeking exclusion.[12] SLB 14L reversed a position that had been in place for over twelve… [read post]
25 Jun 2023, 10:54 am by Eugene Volokh
[Here's a draft of my article, on the constitutionality of anti-BDS laws and other related matters, forthcoming in a symposium at The University of the Pacific Law Review.] [read post]
13 Jun 2023, 3:35 am by Greg Lambert and Marlene Gebauer
This week on The Geek in Review, Marlene Gebauer and Greg Lambert talk with ⁠Curt Meltzer⁠, principal of ⁠Meltzer Consulting, LLC⁠. [read post]
12 Apr 2023, 8:25 am by paperstreet
So, I guess you’re buying the quality of the people who run the place. 03:54 Now, that being said, obviously, there have been some risks associated with these hedge funds, and some of them have gone quite badly. [read post]