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31 Mar 2020, 1:50 pm by Kevin LaCroix
  Summary data reported by the SEC’s Division of Investment Management, Analytics Office, reports that approximately two-thirds of private funds are hedge funds or private equity funds. [read post]
  The defendants offered and sold securities in the form of membership interests in the following limited liability companies by general solicitation and “cold calling”: Premier Equity Fund, LLC Premier Equity Fund II, LLC Premier Equity Fund III, LLC Premier Equity Fund IV, LLC CanAm acted as the manager of these funds, which purported to raise money to provide financing for select startups and early stage companies. [read post]
3 Apr 2020, 6:03 am
Schobel, Wachtell, Lipton, Rosen & Katz, on Tuesday, March 31, 2020 Tags: Change in control, COVID-19, Equity-based compensation, Executive Compensation, Incentives, Management, Pay for performance COVID-19 and Shareholder Activism—The Impact Posted by Ele Klein and Aneliya S. [read post]
16 Nov 2018, 5:45 am
Tiger, Cleary Gottlieb Steen & Hamilton LLP, on Tuesday, November 13, 2018 Tags: Board independence, Boards of Directors, Conflicts of interest, Controlling shareholders, Delaware cases, Delaware law, DGCL, Listing standards, Management, NYSE, Securities litigation Private Equity Indices Based on Secondary Market Transactions Posted by Michael S. [read post]
1 Oct 2015, 5:56 am by Mary Jane Wilmoth
(RMS), REO Management Solutions LLC and RMS Asset Management Solutions LLC, violated the False Claims Act in connection with their participation in the Department of Housing and Urban Development’s (HUD’s) Home Equity Conversion Mortgages (HECM) program, which insures “reverse” mortgage loans. [read post]
4 May 2024, 8:31 pm by Cynthia Marcotte Stamer
Solutions Law Press, Inc. invites you to receive future updates by registering on  here and participating and contributing to the discussions in our Solutions Law Press, Inc. [read post]
26 Mar 2007, 7:06 am
Press release:  BALTIMORE, March 21 /PRNewswire-FirstCall/ — FTI Consulting, Inc. , the leading global consulting firm to organizations confronting the critical legal, financial and reputational issues that shape their futures, announced today the promotion of 17 employees to senior managing director and senior vice president positions-the two highest levels of distinction among FTI client service professionals. [read post]
23 Oct 2017, 6:28 am by Doug Cornelius
You can show projected returns Sources: Rule 206(4)-1, the advertising rule Clover Capital Management, Inc. 1986 No Action Letter Backtesting Performance Failure [read post]
23 Feb 2010, 3:00 pm
Additionally, the firm failed to provide sufficient guidance to its supervising managers on how to assess suitability in connection with their brokers' recommendation of RCNs. [read post]
23 Feb 2010, 3:00 pm by Jason R. Doss
Additionally, the firm failed to provide sufficient guidance to its supervising managers on how to assess suitability in connection with their brokers' recommendation of RCNs. [read post]
3 Dec 2021, 6:06 am
 , on Friday, November 26, 2021 Tags: Board performance, Boards of Directors, Cybersecurity, ESG, Management, Surveys Sustainability and Investing Lessons Learned in the Pandemic Era Posted by Daniel C. [read post]
21 May 2018, 5:00 am by John Jascob
In the case of Pluralsight, CEO Skonnard will control over 54 percent of the voting power despite owning just 10 percent of the equity. [read post]
29 Jun 2010, 1:47 pm
Broker-dealers that sold Provident Royalties private placements Firm name Total sales Total commission paid to BD Advisory Group Equity Services Ltd. $110,000 $70,650 AFA Financial Group LLC $2,455,000 $456,150 American Portfolios Financial Services Inc. $585,000 $66,650 Asset Management Strategies LLC $220,000 $2,250 Ausdal Financial Partners Inc. $100,000 $2,250 Barron Moore Inc. $250,000 $96,750 Boogie Investment Group Inc.… [read post]