Search for: "Cornerstone Investors LLC"
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30 Jan 2017, 6:16 am
Likens worked out of a d/b/a Cornerstone Wealth Management. [read post]
3 Jan 2017, 4:28 pm
These settlements emphatically demonstrate that the era of significant investor collective investor actions outside the U.S. has arrived. [read post]
5 Sep 2016, 6:30 am
Will Collective Investor Litigation Outside the U.S. [read post]
19 Aug 2016, 6:16 am
FEC, Disclosure, Glass Lewis, Institutional Investors, ISS, Lobbying, No-action letters, Political spending, Proxy advisors, Proxy season, Proxy voting, SEC, SEC rulemaking, Shareholder proposals,Shareholder voting [read post]
16 Jun 2016, 2:48 pm
John Reed Stark As I noted in a recent post, on June 8, 2016, the SEC, in what one commentator called “the most significant SEC cybersecurity-related action to date,” announced that Morgan Stanley Smith Barney LLC had agreed to pay a $1 million penalty to settle charges that as a result of its alleged failure to adopt written policies and procedures reasonably designed to protect customer data, some customer information was hacked and offered for sale online. [read post]
26 Feb 2016, 12:32 pm
”The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
22 Feb 2016, 4:36 pm
The 1934 Act requires that pertinent information be available to investors. [read post]
12 Feb 2016, 6:03 am
Securities & Exchange Commission, on Wednesday, February 10, 2016 Tags: Accredited investors, Board composition, Boards of Directors, Crowdfunding, Disclosure, Diversity, Dodd-Frank Act, Engagement, Investor protection, JOBS Act, Liquidity, Proxy access, SEC enforcement, SEC rulemaking, Securities enforcement, Securities Regulation, Shareholder activism, Shareholder rights Activist Settlements and Heightened Scrutiny—Ebix Posted by Robert C. [read post]
12 Feb 2016, 6:03 am
Securities & Exchange Commission, on Wednesday, February 10, 2016 Tags: Accredited investors, Board composition, Boards of Directors, Crowdfunding, Disclosure, Diversity, Dodd-Frank Act, Engagement, Investor protection, JOBS Act, Liquidity, Proxy access, SEC enforcement, SEC rulemaking, Securities enforcement, Securities Regulation, Shareholder activism, Shareholder rights Activist Settlements and Heightened Scrutiny—Ebix Posted by Robert C. [read post]
14 Sep 2015, 4:32 pm
To be sure, the value investor “does not believe that the market price accurately reflects public information at the time he transacts. [read post]
29 Sep 2014, 10:50 am
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 Vero Beach, Florida. [read post]
31 Jan 2014, 5:20 am
Panel II: Private Fund Adviser Topics Speakers: Ashish Ward, Exam Manager, National Exam Program, Los Angeles Regional Office Alpa Patel, Senior Counsel, Division of Investment Management Igor Rozenblit, Specialist, Division of Enforcement, Asset Management Unit James Capezzuto, General Counsel & Chief Compliance Officer, Cornerstone Capital Management LLC Barbara Burns, Chief Compliance Officer, AEA Investors SBF LLC Key focus areas in presence exams: (1)… [read post]
30 Dec 2013, 6:33 am
Thereafter, FINRA alleged that Isaacs negligently misrepresented to the customers that an investment in CIP Leverage Fund Advisors, LLC (CIP) was for moderately conservative investors and would pay interest to the investors on a monthly basis. [read post]
3 Sep 2013, 8:13 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
13 Feb 2013, 11:16 am
Cornerstone REIT is sponsored by Cornerstone Realty Advisors, LLC. [read post]
6 Feb 2013, 9:00 pm
Communication of a compliance program is a cornerstone of any anti-corruption compliance program. [read post]
25 Aug 2012, 9:04 am
According to a study by The University of Texas at Austin McCombs School of Business and Blue Vault Partners LLC, most non-traded real estate investment trusts underperform compared to benchmarks. [read post]
8 Jun 2012, 8:33 am
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 Boca Raton, Florida. [read post]
8 Jun 2012, 8:33 am
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 Boca Raton, Florida. [read post]
7 Jun 2012, 7:42 pm
The study was performed by BlueVault Partners LLC and the University of Texas at Austin’s McCombs School of Business. [read post]
