Search for: "Principal Portfolio Services, Inc."
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4 Jun 2013, 7:48 am
FINRA also ordered Merrill Lynch, Pierce, Fenner & Smith Incorporated, as successor for Banc of America Investment Services, Inc., to pay a fine of $900,000 and to reimburse approximately $1.1 million in losses to 214 customers. [read post]
22 Apr 2014, 8:22 am
LEAF Asset Management, LLC is a wholly-owned subsidiary of Resource America, Inc., a company that specializes in developing investment funds for outside investors and providing asset management services either by contract or by acting as the manager or general partner of its own sponsored investment funds. [read post]
6 Dec 2022, 8:46 am
HMD and VoiceAge EVS, which was set up in 2018 to license Canadian tech company VoiceAge Corp’s enhanced voice services patent portfolio, are fighting in courts in Germany, the United States and Brazil over various patents for technology related to voice calls. [read post]
31 Mar 2012, 8:17 pm
Patricia Collantes was fined $8,000 and suspended from association with any FINRA member in any principal capacity in relation to findings that while acting as Operating Manager at Citigroup Global Markets Inc. in Palo Alto, California, Ms. [read post]
3 Apr 2012, 6:01 am
Joint Equity Committee of Investors of Real Estate Partners, Inc. v. [read post]
9 Dec 2009, 6:55 am
Incorporated, Goldman Sachs & Co., Bear Stearns Companies, Inc., Bank of America Securities LLC, Bank of New York, Citigroup Inc., Credit Suisse (USA) Inc., Deutsche Bank Securities, Inc., Merrill Lynch, Pierce, Fenner & Smith, Inc., and UBS Financial Services, Inc. [read post]
29 Jul 2017, 5:32 pm
Trinity Indus., Inc. [read post]
3 Jun 2021, 3:30 am
The third – Wan Zulkiflee (former CEO of Petronas) – was voted off the board after only four months of service. [read post]
7 Mar 2012, 3:00 am
Fujitsu provides cutting-edge document capture solutions for business and personal environments, backed by a comprehensive portfolio of service and support programs. [read post]
28 May 2010, 11:30 am
No guarantee: None of the State of New York, its agencies, the Federal Deposit Insurance Corporation (FDIC), The Vanguard Group, Upromise Investments, Inc., nor any of their applicable affiliates insures accounts or guarantees the principal deposited therein or any investment returns on any account or investment portfolio. [read post]
6 Apr 2010, 6:01 am
One model is to subscribe to services provided by proxy advisory firms (today, principally Risk Metrics, Glass Lewis and Proxy Governance), ranging from outsourcing the mechanics for actually voting shares (a not insignificant logistical and cost issue if the investment manager’s portfolio includes hundreds or thousands of companies), to making recommendations on how to vote all portfolio companies’ shares on all matters brought to shareholder… [read post]
11 Jan 2018, 9:45 am
Patent holders Telefonaktiebolaget LM Ericsson and Ericsson Inc. ( collectively “Ericsson”) hold an extensive portfolio of telecommunications patents. [read post]
18 Jun 2012, 11:42 am
(Hulse) was a director of H&H Worldwide Financial Service Inc.; Paul Hulse, Jr. [read post]
19 Jun 2018, 3:57 pm
Con/Chem, Inc. [read post]
12 Apr 2016, 3:50 pm
A fee or compensation is paid “in connection with or as a result of” such transaction or service if the fee or compensation would not have been paid but for the transaction or service or if eligibility for or the amount of the fee or compensation is based in whole or in part on the transaction or service. [read post]
12 Apr 2016, 3:50 pm
A fee or compensation is paid “in connection with or as a result of” such transaction or service if the fee or compensation would not have been paid but for the transaction or service or if eligibility for or the amount of the fee or compensation is based in whole or in part on the transaction or service. [read post]
13 Jul 2020, 2:59 pm
Portfolio companies of a private equity fund can qualify for the program only if the borrower, the fund and all of its affiliated portfolio companies collectively pass one of the prongs of the eligibility test. [read post]
14 Mar 2023, 11:54 am
Route Consultant, Inc., 2023 WL 2466624, No. 3:22-cv-00656 (M.D. [read post]
13 Feb 2023, 5:59 am
(“Chicago Pacific”), which controlled P3, as a portfolio company, along with Sameer Mathur, one of Chicago Pacific’s principals who oversaw Chicago Pacific’s investment in P3. [read post]
3 Oct 2010, 2:35 pm
Under Florida law, the plain language of a residential mortgage note, which repeatedly and unmistakably indicated that a mortgagor's monthly payments might not be sufficient to cover the interest, and that any deficiency would be added to the note's principal, did not require a mortgagee or a loan servicer to apply at least a portion of each monthly mortgage payment to the principal. [read post]
