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23 Oct 2017, 6:28 am
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
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
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]
1 Apr 2022, 12:16 pm
Year Q122 M&A+I Data Points Activity By Month (Q1 2022) January – 2 February – 2 March – 3 Activity By Month (Q1 2021) January – 3 February – 3 March – 4 Activity By Month (Q1 2020) January – 6 February – 2 March – 2 M&A+I Events (Running Listing: November 2001 – Today) Index: eDiscovery Mergers, Acquisitions, and Investments Event DateAcquired (Investee)Acquirer (Investor)Amount (Estimated $) 15-March-22Fireman & CompanyEpiq… [read post]
13 Feb 2013, 11:16 am
Cornerstone Ventures Inc appears to manage both the and Cornerstone Reality Funds and another problematic investment, CIP Leveraged Fund. [read post]
4 Jan 2011, 7:32 am
$585,000 $66,650 Asset Management Strategies LLC $220,000 $2,250 Ausdal Financial Partners Inc [read post]
8 Jul 2014, 7:05 am
Romantic Relationships Should Be Managed. [read post]
15 Mar 2023, 12:32 pm
On March 9, 2023, the SEC announced that it had settled charges that data management software company Blackbaud, Inc. had settled charges that the company’s cybersecurity disclosure policies and procedures violated the agency’s public company disclosure reporting requirements and that the company had made misleading disclosures about a 2020 ransomware attack that impacted more that 13,000 of its customers. [read post]
29 Jan 2016, 9:01 am
Tortoise funds were said to have been marketed to investors and sold by financial advisors at brokerages such as Mid Atlantic Capital Corp, Morgan Stanley, Pershing FundCenter, Shareholders Services Group, JPMorgan, Fidelity Institutional, FundsNetwork, MSSB Retail Fund, Raymond James, CommonWealth Universe, RBC Wealth Management, Mid Atlantic Capital Group, MSWM Brokerage, and Securities America Inc. [read post]
15 Mar 2012, 7:38 am
Telegraph, according to the Poynter.org post.Meanwhile, the Los Angeles Times claims potential purchasers include Times parent Tribune Co., MediaNewsGroup, Inc., and a couple of Los Angeles-based private equity firms, Platinum Equity and Gores Group.Freedom is mum on negotiations for an ownership change. [read post]
31 Dec 2013, 7:34 am
Forbes Sargent represented Jiten Hotel Management, Inc. in connection with the client’s acquisition, debt and equity financing and development of 98 Greenwich Street in lower Manhattan, New York as an 186 room hotel. [read post]
9 Jun 2008, 4:40 pm
As baby boomers reach retirement age and more companies offer employees self-managed accounts in lieu of company-managed pensions, friction points may grow. [read post]
24 Sep 2021, 6:03 am
Phillips (Dartmouth), on Wednesday, September 22, 2021 Tags: Capital formation, International governance, IPOs, Profitability, Public firms How Private Equity-Backed Companies Can Move the Needle on Sustainability Posted by Mark Adams, Joy Tan, and Emily Taylor, Russell Reynolds Associates, on Wednesday, September 22, 2021 Tags: Climate change, ESG, Human capital, Institutional Investors, Management, Private… [read post]
29 Apr 2008, 9:51 pm
Becker, the general counsel for Harpo Inc., the company that manages the various entertainment projects of television superstar Oprah Winfrey. [read post]
15 Sep 2017, 11:51 am
When the division was reorganized in 2010, he joined the newly formed Asset Management Unit.During his tenure with the Enforcement Division, Mr. [read post]
4 Apr 2017, 6:57 am
Saba Software, Inc., was required to file a restatement due to fraud. [read post]
