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1 Jan 2020, 8:11 am
(Investee)Capital Southwest Corporation in Recapitalization (Investor) 2-Jul-19QDiscoveryXact Data Discovery 19-Jun-19Text IQ (Investee)FirstMark Capital with Sierra Ventures (Investors)$12,600,000 17-Jun-19Elevate (Investee)Kayne Partners (Investor)$25,000,000 17-Jun-19Cellebrite (Investee)Israel Growth Partners (IGP) $110,000,000 12-Jun-19Infinnium (Investee)Sahajanand Group (Investor) 11-Jun-19Jordan LawrenceExterro 5-Jun-19Mindseye SolutionsReveal Data… [read post]
31 Dec 2019, 2:56 am
Also see the summary in this Cooley blog… Audit Committee Role & Reminders: Statement from SEC & Corp Fin Also yesterday, this statement from SEC Chair Jay Clayton, Chief Accountant Sagar Teotia and Corp Fin Director Bill Hinman was issued to remind audit committees of their oversight responsibilities in financial reporting – and to remind companies that audit committees need adequate resources & support to fulfill their obligations. [read post]
30 Dec 2019, 3:00 pm
Digital Verdict Disco Discovery Litigation Services Diversified Legal Services Diversified Risk Management Doar Litigation Consulting Duff & Phelps Eisner Amper LLP Elite Document Technology Epiq (DTI) Ernst & Young LLP (Pangea) Esquire Solutions First Legal Investigations Forensic Data Services Fronteo FTI Consulting/Technology Gibson Arnold & Associates GlassRatner Advisory & Capital Group LLC Guidepost Solutions LLC H5 Haley Stuart, LLC Hancock Firm HaystackID (Inspired… [read post]
26 Dec 2019, 6:52 am
(Investee)Capital Southwest Corporation in Recapitalization (Investor) 2-Jul-19QDiscoveryXact Data Discovery 19-Jun-19Text IQ (Investee)FirstMark Capital with Sierra Ventures (Investors)$12,600,000 17-Jun-19Elevate (Investee)Kayne Partners (Investor)$25,000,000 17-Jun-19Cellebrite (Investee)Israel Growth Partners (IGP) $110,000,000 12-Jun-19Infinnium (Investee)Sahajanand Group (Investor) 11-Jun-19Jordan LawrenceExterro 5-Jun-19Mindseye SolutionsReveal Data… [read post]
24 Dec 2019, 10:49 am
The post FINRA Suspends Broker Gregory Ricker appeared first on Securities Arbitration Lawyers Blog. [read post]
24 Dec 2019, 7:38 am
The post FINRA Disciplinary Actions For December 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
23 Dec 2019, 1:40 pm
Morgan Securities LLC Chase Investment Services Corp Mostert, John Quest Capital Strategies, Inc. [read post]
20 Dec 2019, 3:02 am
A while back, Corp Fin was on a roll with this format for guidance – issuing six topics from 2011 to 2013 (here’s Broc’s blog from when this format first debuted). [read post]
17 Dec 2019, 7:07 am
Pivotal Acquisition Corp. [read post]
12 Dec 2019, 7:44 am
A similar claim, excessive trading, under FINRA’s suitability rule involves just the first two elements. [read post]
26 Nov 2019, 7:44 am
The post FINRA Disciplinary Actions For November 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
26 Nov 2019, 7:23 am
The post FINRA Disciplinary Actions For November 2019 Name Registered Individuals Barred For Violations Of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
26 Nov 2019, 7:12 am
Raymond James & Assoc Southwest Securities Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
26 Nov 2019, 7:02 am
The post FINRA Disciplinary Actions For October 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
26 Nov 2019, 6:50 am
The post FINRA Disciplinary Actions For October 2019 Name Registered Individuals Barred For Violations Of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
22 Nov 2019, 3:03 am
Yesterday, Corp Fin unveiled its “Shareholder Proposal No-Action Responses Chart” – and posted the first “informal” no-action response under its new process for Rule 14a-8. [read post]
19 Nov 2019, 2:53 pm
” Security First Corp. v. [read post]
18 Nov 2019, 11:17 am
The post James Anderson, Barred Broker Formerly With Ameritas Investment Corp., Subject Of 5 Disclosures appeared first on Securities Arbitration Lawyers Blog. [read post]
18 Nov 2019, 6:13 am
Deutsche Bank AG settled for $15 million and units of Tennessee’s First Horizon National Corp settled for $14.5 million in September. [read post]
17 Nov 2019, 2:44 pm
” This was new policy territory for technology companies, and to a great extent new territory for legislators, academics, investors and human rights advocates. [read post]
