Search for: "Alliance Capital Management LLC"
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4 Jun 2018, 6:38 am
Turner & Company, LLC Kenneth Taylor Foreman Securities America, Inc Foothill Securities, Inc Sherie Irene Gaunt Gill Capital Partners Kimberly Pine Kitts Royal Alliance Associates, Inc Sound Financial, LLC Peter Jack Margaros State Farm VP Management Corp James Albert Pettit Ameriprise Financial Services, Inc Janney Montgomery Scott LLC Keisha… [read post]
12 Apr 2018, 7:42 pm
§ 541.100(a)(2)-(4) to determine whether an employee is a manager or supervisor for purposes of section 3(m). [read post]
6 Apr 2018, 6:08 am
Fontaine, Corporate Risk Holdings LLC, and John Reed Stark, John Reed Stark Consulting LLC, on Saturday, March 31, 2018 Tags: Boards of Directors, Cybersecurity, Disclosure, Financial reporting, Risk, Risk management, Risk oversight, SEC, SEC enforcement, Securities enforcement, Securities regulation Do Director Networks Improve Managerial Learning from Stock Prices? [read post]
4 Apr 2018, 7:38 am
Inc Blackbrook Capital, LLC Keisha Diane Pizzo Eric P. [read post]
27 Jan 2018, 12:00 am
They’re the people that deal with Schwab, and their advisor, Alliance. [read post]
24 Oct 2017, 10:49 am
Our sole new relist is a capital case out of Alabama. [read post]
15 Sep 2017, 11:51 am
Barclays Capital Inc., for alleged anti-fraud violations based on alleged overbilling of advisory fees and excess mutual fund sales charges, which resulted in $97 million monetary relief. [read post]
29 Mar 2017, 7:30 am
District Court for the District of Columbia applied the Lone Steer standard to an OFCCP compliance evaluation dispute in its November 2011 decision in United Space Alliance, LLC v. [read post]
29 Mar 2017, 5:09 am
I decided to avoid that trap by trading my corporate ownership for the capitalized present value of the company’s earnings stream, which was taxable at lower capital gains rates. [read post]
10 Jan 2017, 7:20 am
Kerwin Tesdell is president of the Community Development Venture Capital Alliance, the association of venture capital funds that provide equity financing for businesses that create good jobs, wealth, and entrepreneurial capacity in underinvested areas of the United States and the world. [read post]
23 Dec 2016, 1:00 am
Sharfman, University of Oklahoma, on Thursday, December 22, 2016 Tags: Corporate Social Responsibility, Environmental disclosure, ESG, Firm valuation, Institutional Investors, Institutional monitoring, Market efficiency, Ownership, Profitability, Public perception, Reputation, Risk management, Risk-taking, Shareholder value, Stock analysts, Sustainability Proxy Advisors and Investors Prep for 2017 Proxy Season Posted by Shirley Westcott, Alliance Advisors LLC, on… [read post]
8 Sep 2016, 7:40 am
(Duke) and its wholly owned subsidiaries Duke Energy Carolinas LLC (Duke Carolinas), Duke Energy Progress LLC (Duke Progress) and Energy Progress Inc. [read post]
2 Jun 2016, 5:23 am
Marrone Bio Innovations, Inc.Case Number: 16-cv-00321 (United States District Court for the Eastern District of California)Date Filed: February 17, 2016Date of Qualifying Order/Judgment: March 8, 2016 4/29/2016 7/28/2016 2016-64 In the Matter of Burrill Capital Management, LLC; G. [read post]
25 Mar 2016, 6:00 am
Davy, Sullivan & Cromwell LLP, on Sunday, March 20, 2016 Tags: Banks, Bitcoin, BSA/AML, Compliance & ethics, Corporate crime, Cybersecurity, Director liability, DOJ, Financial institutions, Financial Regulation, Foreign banks, Misconduct, Risk management, Treasury Department Single-Counterparty Credit Limits Rule Posted by Dan Ryan, PricewaterhouseCoopers LLP, on Monday, March 21, 2016 Tags: Banks, Basel Committee, Capital requirements, Credit exposure, Credit risk,… [read post]
18 Jan 2016, 2:05 pm
Generally, the higher the quarterly distribution rate stated in the MLP contract, the higher the management fee. [read post]
15 Jan 2016, 1:17 pm
Some currently traded MLPs include: MLP Sector Ticker Symbol 8Point3 Energy Partners Solar Energy CAFD Access Midstream Natural Gas Midstream ACMP Alliance Bernstein Financial Services AB Alliance Holdings GP LP Coal AHGP Alliance Resource Partners Coal ARLP Alon Partners USA Refiner ALDW American Midstream Partners Natural Gas Midstream AMID Amerigas Partners Propane Marketing APU Antero Midstream Partners Natural Gas Midstream AM Arc Logistic Partners Crude/Refined… [read post]
25 Aug 2015, 7:32 am
From February 2005, until February 2007, Tweed was registered with United Securities Alliance, Inc. [read post]
11 Nov 2014, 8:45 am
CNL Retirement Properties, Inc Waveland Vesta Medical, LLC ArciTerra Strategic Retail II, LLC Gentry Mills Capital (GMI – ES 14, LP) ArciTerra Real Estate Investment Trust, Inc. [read post]
28 Aug 2014, 1:02 pm
The LLC may need to be adequately capitalized to mitigate against the risks of veil piercing and ascending liability. [read post]
24 Jan 2014, 6:28 am
According to FINRA the three brokers owned and controlled two companies – Allen Partners Capital, LLC (APC) and Allen Partners, LLC (AP). [read post]
