Search for: "Alexander Financial LLC"
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12 May 2017, 6:21 am
Rickey, Margrave Law LLC, on Thursday, May 11, 2017 Tags: Charter & bylaws, Delaware articles, Delaware cases, Delaware law, Disclosure, Fee-Shifting, In re Trulia, Materiality, Merger litigation, Mergers & acquisitions, Settlements, Shareholder suits, State law An Activist View of CEO Compensation Posted by David F. [read post]
4 Nov 2013, 5:18 am
Finally, from February 2012 until May 2012, Hutton was associated with Obsidian Financial Group, LLC. [read post]
13 Nov 2013, 3:24 am
Keith Alexander Ashe dba Spendology and Spendology LLC, Opposition No. 91207409 (October 15, 2013) Applicant enjoyed a constructive first use date of October 25, 2011, the filing date of the opposed application. [read post]
27 Jul 2020, 9:42 am
Morgan Securities LLC David Stateman Allstate Financial Services, LLC AXA Advisors, LLC Alexander Walker Fidelity Brokerage Services LLC For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
1 Mar 2013, 11:56 am
Morgan Securities LLC, EMC Mortgage, LLC, Bear Stearns Asset Backed Securities I, LLC, Structured Asset Mortgage Investments II, Inc., SACO I, Inc., and J.P. [read post]
21 Aug 2023, 8:12 am
The investigation was conducted by Kelly Rock and Elisabeth Goot and was supervised by Armita Cohen and Osman Nawaz of the Complex Financial Instruments Unit, with assistance from Alexander Lefferts of the Enforcement Division’s Office of Investigative and Market Analytics and Ling Yu and Carolyn O’Brien from the Division of Examinations. [read post]
28 Feb 2023, 6:46 am
Morgan Securities LLC Albert Foronda Spartan Capital Securities, LLC Worden Capital Management LLC Edward McMahon Alexander Capital, L.P. [read post]
18 Nov 2022, 6:30 am
Bebchuk, Kobi Kastiel, Anna Toniolo (Harvard Law School), on Monday, November 14, 2022 Tags: Corporate disputes, Mergers & acquisitions, Poison pills, Stakeholders, Twitter SEC Finalizes New Clawback Rules Posted by Mike Kesner, Lane Ringlee, Pay Governance LLC, on Tuesday, November 15, 2022 Tags: Clawbacks, Compensation disclosure, Dodd-Frank Act, Financial reporting, SEC, SEC rulemaking Does Voluntary Financial Disclosure Matter? [read post]
18 Nov 2022, 6:30 am
Bebchuk, Kobi Kastiel, Anna Toniolo (Harvard Law School), on Monday, November 14, 2022 Tags: Corporate disputes, Mergers & acquisitions, Poison pills, Stakeholders, Twitter SEC Finalizes New Clawback Rules Posted by Mike Kesner, Lane Ringlee, Pay Governance LLC, on Tuesday, November 15, 2022 Tags: Clawbacks, Compensation disclosure, Dodd-Frank Act, Financial reporting, SEC, SEC rulemaking Does Voluntary Financial Disclosure Matter? [read post]
5 Apr 2023, 12:36 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
4 Jan 2021, 12:05 pm
Aaron Pierett Merrill Lynch, Pierce, Fenner & Smith Incorporated Wells Fargo Clearing Services, LLC Alexander Walker Fidelity Brokerage Services LLC For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
19 Apr 2019, 5:39 am
According to FINRA Disciplinary actions for March 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Barrera, Cynthia Morgan Stanley Smith Barney Merrill Lynch, Pierce, Fenner & Smith Beyn, Edward Rothchild Lieberman LLC Craig Scott Capital Blanchard, Keith Waddell & Reed Block, Gabriel… [read post]
14 Jan 2009, 6:06 am
Jeremy Alexander, CEO of Beacon Research, stated: "Insurance remains the least damaged part of [the financial services industry] and is therefore best positioned to recover and prosper. [read post]
10 Feb 2011, 6:50 am
“We disagree with the decision,” Citi Spokesman Alexander Samuelson said. [read post]
15 Mar 2024, 6:30 am
Gephardt, Gephardt Group LLC, on Thursday, March 14, 2024 Tags: Board of Directors, corporate boards, Employees, stakeholder engagement, Stakeholders [read post]
15 Mar 2024, 6:30 am
Gephardt, Gephardt Group LLC, on Thursday, March 14, 2024 Tags: Board of Directors, corporate boards, Employees, stakeholder engagement, Stakeholders [read post]
14 Jun 2019, 6:18 am
Roth and Alexander R. [read post]
30 Dec 2021, 4:22 am
Financial advisors should have their client’s best interest as a first priority. [read post]
14 Jan 2011, 2:11 am
Rosenzweig, who served as the director of North Hills Management LLC, a general partner of the hedge fund. [read post]
3 Sep 2021, 5:46 am
Securities and Exchange Commission, on Saturday, August 28, 2021 Tags: Broker-dealers, Engagement, Financial technology, Investment advisers, Investor protection, SEC, SEC rulemaking, Securities regulation SEC Updates Qualified Client Threshold Posted by Kathryn M. [read post]
