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22 Jun 2015, 10:55 am by Lyle Denniston
Kingdomware argues that this gives the VA no discretion but to do market research to see if there are two such firms and then pick the one that can handle the job at a fair price. [read post]
26 May 2015, 11:32 am by Lax & Neville LLP
FINRA alleged that LPL also failed to deliver confirmations to high net worth customers consisting of various exchange-traded portfolios and mutual funds. [read post]
22 May 2015, 7:06 pm by D. Daxton White
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]
2 May 2015, 12:00 pm by SEClaw Staff
BlackRock Advisors Charged With Failing to Disclose Conflict of Interest to Clients and Fund Boards BlackRock Advisors LLC has been charged with breaching its fiduciary duty by failing to disclose a conflict of interest created by the outside business activity of a top-performing portfolio manager. [read post]
One replied “Actually, we worry every day about whether our portfolio company pay programs create drive, discipline, and speed, for without these three motivations, our investments won’t create value for our investors. [read post]
25 Apr 2015, 4:22 am by The Public Employment Law Press
He previously served as Managing Principal of Boone Consulting and, prior, was President and Founder of Pride Properties, LLC, owning a portfolio of rental and company-financed properties in the Mid South. [read post]
21 Apr 2015, 12:21 pm by John Jascob
Koch and Koch Asset Management LLC (KAM) were found to have engaged in market manipulation through marking the close of three thinly-traded securities. [read post]
21 Apr 2015, 10:21 am by Philip Shecter
The SEC charged BlackRock Advisors LLC with breaching its fiduciary duty by failing to disclose a conflict of interest involving the outside business activity of one of its top-performing portfolio managers, Daniel J. [read post]
14 Apr 2015, 4:50 pm by Kevin LaCroix
Two days prior to The Wall Street Journal’s report, on March 30, 2015, the SEC’s Enforcement Division commenced public administrative and cease and desist proceedings against private equity investment adviser Lynn Tilton (Tilton), Patriarch Partners, LLC, Patriarch Partners VIII, LLC, Patriarch Partners XIV, LLC and Patriarch Partners XV, LLC (collectively, Patriarch). [read post]
1 Apr 2015, 10:59 am by Allison Tussey
GCAT Management Services 2015-13 LLC was the winning bidder on all three pools. [read post]
13 Mar 2015, 4:29 am by SHG
No one ever got elected for being the voice of reason. [read post]
9 Mar 2015, 12:23 pm
"If I hear 'EPO' one more time I shallscream! [read post]
2 Mar 2015, 2:43 pm
This one too is masterminded by Alan Johnson and Alexandria Palamountain.* Failure! [read post]
25 Feb 2015, 6:28 am
At least one of the three Section 2(d) refusals summarized below was reversed, and a least one was affirmed. [read post]
23 Feb 2015, 2:55 am
Last week was another frenetic one for this weblog. [read post]
9 Feb 2015, 1:15 am
 Litigation-proof patents and the excellence of patent portfolios: two books, one authorJeremy reviews Litigation-Proof Patents: Avoiding the Most Common Patent Mistakes and Patent Portfolios: Quality, Creation, and Cost, two books by the very same IP enthusiast Larry M. [read post]
19 Jan 2015, 8:04 am by Harvey L. Pitt, Kalorama Partners, LLC,
Pitt is Chief Executive Officer and Managing Director at Kalorama Partners, LLC and former Chairman of the U. [read post]