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17 Jul 2015, 5:00 am by Doug Cornelius
SEC’s White: Compliance officers not a target of the agency by Mark Schoeff Jr. in Investment News “To be clear, it is not our intention to use our enforcement program to target compliance professionals,” Ms. [read post]
26 Jun 2012, 5:25 am by Doug Cornelius
The safest investment is US treasuries and it pays less than 2%. [read post]
19 Mar 2010, 5:00 am by Doug Cornelius
by the FCPA Professor A topic in the blogosphere this week has been whether the FCPA needs to be suspended so that more U.S. companies will invest in Haiti. [read post]
29 Mar 2008, 8:52 am
Ownership and capital structure, including the possibility and the desirability of outside (that is, non-lawyer) investment in law firms. [read post]
15 Nov 2019, 11:56 am by Lindsay Griffiths
Bruce Feuchter Email: feuchter@sycr.com Telephone: (949) 725-4123 Practice Groups: Corporate securities, corporate and general finance transactions Jason Anderson Email: JAnderson@SYCR.com Telephone: (949) 725-4233 Practice Groups: Business litigation, consumer class actions, merger and acquisition litigation, shareholder and partner disputes, contract disputes, investment litigation and real estate litigation [read post]
1 Jun 2012, 5:06 am by Doug Cornelius
  In addition, Rule 2111 defines suitability when it comes to investment recommendations. [read post]
19 Jan 2012, 9:35 am by Keith Paul Bishop
  Walden Asset Management describes itself as “a leader in socially responsible investing”. [read post]
7 Dec 2011, 6:06 am by Larry Ribstein
For more on these issues see my conversation with Mitt Regan and Bruce MacEwen. [read post]
21 Jan 2012, 7:18 am by LTA-Editor
The Seattle Weekly provides a concise background of the case, but the gist is that Cox was sued for defamation by investment firm Obsidian Finance Group after writing several blog posts that were critical of the firm and its co-founder. [read post]
14 Apr 2009, 4:00 am
Proskauer Rose lawyer Thomas Sjoblom accompanied Stanford Financial Group’ Chief Investment Officer Laura Pendergest-Holt to an SEC investigation. [read post]
22 Jun 2011, 12:50 pm by Ray Mullman
  Beverly Enterprises, former owner of 45 Iowa nursing homes, sold the chain to Ventana Investments in 1989 for $57 million. [read post]
12 Mar 2024, 12:10 pm by Stewart Baker
Kemba, meanwhile, has joined the Paladin Global Institute, designed to further Kemba's (and Paladin's) interest in aligning private investment and public security. [read post]