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21 Jul 2023, 6:30 am
Posner, Cooley LLP, on Tuesday, July 18, 2023 Tags: Business judgment rule, Delaware articles, Delaware cases, Delaware Court of Chancery, Delaware law, Stakeholders, strategy H1 2023 Review of Shareholder Activism Posted by Jim Roseman, Christopher Ludwig, and Cameron Fitzgerald, Barclays Global Advisory Group, on Tuesday, July 18, 2023 Tags: climate disclosures, Mergers & acquisitions, rule 10-B1, SEC enforcement, Shareholder activism, Universal Proxy Vanguard’s Approach to Board… [read post]
20 Jul 2023, 10:44 am
We expect these additions to meaningfully contribute to our unwavering commitment to provide excellent legal services to all our clients. [read post]
Testimony at the Committee on Financial Services hearing: “Oversight of the Proxy Advisory Industry”
20 Jul 2023, 6:31 am
In order to do so both effectively and efficiently, institutional investors often leverage their resources by using the services of a proxy advisor. [read post]
Testimony at the Committee on Financial Services hearing: “Oversight of the Proxy Advisory Industry”
20 Jul 2023, 6:31 am
In order to do so both effectively and efficiently, institutional investors often leverage their resources by using the services of a proxy advisor. [read post]
20 Jul 2023, 2:09 am
For this service, brokerage firms are generally paid a high commission, often 7% or higher (a 7% up front commission is well in excess of the commissions offered financial advisors selling annuities or mutual funds, which creates an inherent conflict of interest for advisors recommending DST investments). [read post]
19 Jul 2023, 2:04 am
The post What Employers Need to Know About Insurance Plan Restrictions in Cancer Care appeared first on HR Daily Advisor. [read post]
17 Jul 2023, 2:13 pm
KKR Financial Holdings. [read post]
16 Jul 2023, 7:48 pm
(CRD#:23769), SCOTTSDALE, AZ, B, 09/01/2006 – 03/23/2009, SUMMIT BROKERAGE SERVICES, INC. [read post]
14 Jul 2023, 4:00 am
Gal Luft is accused of recruiting and paying a former high-ranking U.S. government official and advisor to then President-elect Trump on behalf of principals based in China without registering as a foreign agent. [read post]
13 Jul 2023, 10:20 am
Engage the services of a financial planner or advisor experienced in divorce cases to help you navigate the financial complexities. [read post]
13 Jul 2023, 10:00 am
6623916 QUICKCAN 6618129 GARDEN STATE 6618117 C&R INSURANCE SERVICES 6618111 DIETHOOD 6618103 OMEGA 6623713 G. [read post]
13 Jul 2023, 8:18 am
Philip Riposo (Philip Anthony Riposo CRD# 400056) is a former broker and investment advisor last registered with United Planners’ Financial Services Of America A Limited Partner (CRD#:20804) of Cave Creek, AZ. [read post]
12 Jul 2023, 2:23 pm
CFPB: The Consumer Financial Protection Bureau (“CFPB”) issued a spotlight on the adoption and use of chatbots by financial institutions. [read post]
12 Jul 2023, 1:59 pm
Tax advisors should be looped in early to analyze these issues. [read post]
11 Jul 2023, 11:19 am
FINRA Bars Advisor David Geake after 25 Complaints The Financial Industry Regulatory Authority (FINRA), the broker-dealer regulator, has reportedly barred financial advisor David Geake after alleged broker misconduct. [read post]
11 Jul 2023, 2:02 am
She has raised over $10 million in venture capital from visionary investors such as Sequoia Capital and Monk’s Hill Ventures, and Tigerhall’s customers include global Fortune 500 firms in technology, fast-moving consumer goods (FMCG), professional services, and financial services. [read post]
10 Jul 2023, 9:27 am
Broker John Hoidas Suspended after 10 Customer Complaints The Financial Industry Regulatory Authority (FINRA) has reportedly suspended financial advisor John Hoidas for 18 months and fined him $40,000 after numerous customers alleged unsuitable investment recommendations. [read post]
7 Jul 2023, 1:24 pm
The SEC charged Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network with failure to supervise and train investment advisors and registered representatives recommending single-inverse ETF investments to retail investors. [read post]
7 Jul 2023, 12:53 pm
FINRA Bars Advisor Helen Caldwell after Allegations of Outside Business Activities The Financial Industry Regulatory Authority, the regulator who oversees brokers and brokerage firms, has reportedly barred financial advisor Helen Caldwell from the securities industry as of July 6, 2023. [read post]
30 Jun 2023, 12:04 pm
Pooling resources for a single service. [read post]
