Search for: "SIGNAL FUNDING, LLC"
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4 Mar 2022, 8:00 am
The SEC alleges that Justin Robert King and his company, Elevate Investments LLC, “were offering interests in the Elevate Investment Fund despite the fact that no such fund entity exists” and that “all investor money was held in brokerage and bank accounts in the name of King, his wife, and/or Elevate. [read post]
2 Mar 2022, 6:49 am
Additional Sanctions Continue to Be Forthcoming: The White House has signaled that further sanctions against Russia will be forthcoming should Russia continue its assault on Ukraine. [read post]
11 Feb 2022, 3:00 am
The committee was told Goldy failed to disclose more than $150,000 in campaign donations, illegally accepted contributions from non-Ontarians, mixed her personal and campaign funds, and did not co-operate with the audit. [read post]
5 Feb 2022, 7:38 am
Morgan Securities LLC (JPMS), a broker-dealer subsidiary of JPMorgan Chase & Co. [read post]
29 Jan 2022, 8:34 am
____The attorneys at Sallah Astarita & Cox, LLC are former SEC Senior staff attorneys and counsel to brokerage firms, private funds, and investment advisors. [read post]
25 Jan 2022, 12:44 pm
Plaintiffs Reveal Chat HoldCo LLC, USA Technology and Management Services Inc and Beehive Biometric Inc in a court filing told the 9th U.S. [read post]
7 Jan 2022, 2:20 pm
Interactive Brokers LLC – In a more traditional CFTC action, the brokerage firm Interactive Brokers LLC agreed to pay $84.3 million in penalties and restitution for its alleged mishandling of consumer accounts. [read post]
7 Jan 2022, 2:20 pm
Interactive Brokers LLC – In a more traditional CFTC action, the brokerage firm Interactive Brokers LLC agreed to pay $84.3 million in penalties and restitution for its alleged mishandling of consumer accounts. [read post]
4 Jan 2022, 5:00 pm
From the folks at Global SWF LLC, a new report that is worth reading--The 2022 Annual Report: State Owned Investors 3.0. [read post]
10 Dec 2021, 1:54 pm
CLS Transportation Los Angeles LLC. [read post]
10 Dec 2021, 4:59 am
Securities and Exchange Commission, on Friday, December 3, 2021 Tags: Accounting standards, Foreign issuers, Holding Foreign Companies Accountable Act, International governance, PCAOB, Sarbanes–Oxley Act, SEC, SEC rulemaking, Securities regulation SEC’s New Approach to No-Action Requests for Shareholder ESG Proposals Posted by Era Anagnosti, Maia Gez, and Scott Levi, White & Case LLP, on Saturday, December 4, 2021 … [read post]
26 Nov 2021, 5:38 am
Wang (Harvard Business School), on Wednesday, November 24, 2021 Tags: Accounting, Earnings announcements, Earnings disclosure, Financial reporting, Forecasting, Form 10-K, GAAP 2021 Annual Corporate Governance Review Posted by Hannah Orowitz, Brigid Rosati and Rajeev Kumar, Georgeson LLC, on Wednesday, November 24, 2021 Tags: Climate change, Diversity, Engagement, ESG, Institutional Investors, Political… [read post]
14 Nov 2021, 3:37 pm
Already the U.S. banking industry is signaling its willingness to consider ESG when underwriting lending. [read post]
27 Sep 2021, 12:59 pm
Alvarez, managing principal at BridgeCounsel Strategies LLC. [read post]
9 Sep 2021, 2:20 pm
Each NoCA relates to a successful enforcement action and signals that individuals may now file whistleblower award claims for those cases. [read post]
3 Sep 2021, 4:00 am
The latest guidance signals an administration prepared to take a more aggressive approach in battling gerrymandering. [read post]
26 Jul 2021, 12:28 pm
Additionally, the District is sending a signal that its leadership is no longer committed to keeping the 2014 tax deal in place. [read post]
21 Jul 2021, 8:07 am
” He went on to say that the expanded authority granted to the agency in the legislation “signals a return to the broad overreach we saw with the FTC in previous decades – a situation so bad that a Democratic Congress crippled the FTC’s funding and stripped it of its authority at that time. [read post]
9 Jul 2021, 7:07 am
Lawmakers hope the legislation will shore up the program in the event that awards paid to eligible whistleblowers deplete funds for related educational and administrative expenses.1. [read post]
6 Jul 2021, 12:14 pm
Robert Holleyman, president and CEO at Crowing & Moring International LLC; Amb. [read post]
