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2 Dec 2020, 8:27 am
., LL.M.Panelists at a meeting of the SEC’s Asset Management Advisory Committee have asked the Commission to repeal the rule banning certain investment advisers from making federal contributions, citing a negative impact on minority political participation. [read post]
22 Aug 2017, 10:46 am
Recovery of Investment Losses in ARC New York City REIT The White Law Group has represented numerous investors in claims against the brokerage firm that recommended non-traded REITs such as ARC New York City REIT to its investors. [read post]
6 Nov 2021, 8:00 am
Speaking of strategy, Victor will explain the importance of building a relationship with an investment advisor early in retirement…despite managing your investments on your own. [read post]
3 Jun 2016, 7:04 am
In a June enforcement action against SFX Financial Advisory Management Enterprises Inc., the firm’s president was charged with stealing $670,000 in client funds over a five-year period. [read post]
21 Feb 2024, 7:45 am
This helps to build trust and confidence in the investment advisory process, ultimately benefiting investors by promoting fair and ethical practices within the securities industry. [read post]
16 Feb 2024, 3:24 am
Position Green, a new player in the FinTech world, draws on the know-how of seasoned sustainability advisors such as Felicia Gustafsson, the Group Product Manager, and Olivia Krall, a Manager and Sustainability Advisor. [read post]
5 Nov 2007, 3:49 am
Miller Investments, Inc. and Miller Management Corporation are also a part of The Miller Group of affiliated companies. [read post]
21 Jun 2022, 8:05 am
Silver Law Group represents investors in securities and investment fraud cases. [read post]
5 Sep 2012, 8:47 am
"If private capital would come in, they would view the loans as only partially secured," said Edwin Groshans, an analyst at investment advisory group Height Analytics. [read post]
3 Feb 2021, 8:01 am
Caroyln Saacke, chief operating officer of NYSE Capital Markets, said, that excluding SPACs, there have 175 IPOs with a market cap of $250 million or less since 2016, most of which were in the healthcare sector.Saacke also said that investing in smaller companies wishing to go public is sometimes perceived as speculative because there are fewer financial controls and less experienced management. [read post]
7 Feb 2023, 3:03 am
Press Announcement (February 2, 2023) HBR Consulting Expands Document and Records Management System Capabilities with Acquisition of Younts Consulting Award-winning group augments HBR’s Content Management & Collaboration offerings and further strengthens Renovus Capital Partners’ legal services platform, which also includes LAC Group + Wilson Allen. [read post]
21 Jan 2011, 9:46 am
Stockbrokers, from a variety of firms, took these managers and certain traders, sometimes in groups, on more than thirty trips to such destinations as the Super Bowl, Las Vegas, Florida, the Caribbean, and Nantucket. [read post]
22 Feb 2018, 5:56 pm
WhiteHolding: Demand for attorney's fees and costs incurred prior to the mooting of a shareholder derivative suit (1) failed to satisfy the requirements of the "corporate benefit rule" because the suit was frivolous and causally unrelated to the corporate benefit in question, and (2) failed to meet the requirements for a discretionary award under Maryland Rule 2-703.Facts: Defendants are a Texas-based publicly traded real estate investment trust… [read post]
2 Mar 2012, 4:26 pm
Either of these tests must be met at the time of entering into the advisory contract. [read post]
4 Aug 2022, 6:17 am
PROTONIQ will focus on fintech companies delivering wealth management, financial advisory, and investment management services. [read post]
26 Jan 2010, 6:35 am
In developing the notice, we plan to consult with our advisory committees and other experts in this area. [read post]
28 Jun 2011, 6:18 am
In a June 10 speech to the Social Investment Forum, SEC Commissioner Luis Aguilar observed that advisory votes appear to be facilitating an increase in communication between issuers and shareholders, and has resulted in positive changes to many companies' executive pay practices. [read post]
19 Nov 2018, 4:01 am
These private placements primarily invest in waste management businesses and car dealerships. [read post]
21 May 2024, 9:01 pm
A legal challenge to the Final Rule has already been filed by an insurance industry trade group in the U.S. [read post]
12 Feb 2008, 8:41 am
It remains to be seen what support the proposals this year will receive in light of a report by the Canadian Coalition for Good Governance (CCGG)--an influential institutional investor group with 48 members managing a total of C$1.4 trillion in assets--stating that now is not the appropriate time to adopt advisory pay votes in the Canadian market. [read post]
