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17 Dec 2018, 3:14 pm
In fact, I predicted the coming of SEC enforcement actions against Khaled and Mayweather over seven months ago in an article entitled, “Ten Crypto-Caveats Floyd Mayweather and DJ Khaled Should Have Heard From Their Lawyers,” published in The Harvard Law School Forum on Corporate Governance and Financial Regulation. [read post]
17 Dec 2018, 8:05 am
Elevator pitch: If the justice gap were a contagion, America would be in the midst of a pandemic. [read post]
10 Dec 2018, 3:16 pm
” Bitcoin is a virtual or digital currency that uses encryption techniques for governance and security and operates independent of any central bank. [read post]
9 Dec 2018, 4:12 pm
Internet and Social Media Following the French Government’s announcement in 1 October 2018 that it will be moving away from using America-based corporations internet search functions in military functions. [read post]
6 Dec 2018, 6:18 am
As asset owners and asset managers, we have a duty to our beneficiaries who depend on us for financial security; such obligations compel us to assume responsibility for reducing risks that we and our beneficiaries face if and when we hold a financial interest in both private and public firearms related enterprises. [read post]
4 Dec 2018, 9:16 am
(Pix credit: Mexico: López Obrador and a memorable speech in the Zócalo: “With the people everything, without the people nothing” (Full text))I have been writing about the most interesting speech delivered to the representatives of the Mexican state assembled in Congress at an gathering to which a large number of foreign representatives were also in attendance. [read post]
30 Nov 2018, 6:06 am
Doyle, American Council for Capital Formation (ACCF), on Thursday, November 29, 2018 Tags: Asset management, Capital formation, Capital markets, Fund managers, Glass Lewis, Institutional Investors, Institutional voting, ISS, Ownership, Proxy advisors, Proxy voting, SEC, Securities regulation, Transparency The Shift from Active to Passive Investing: Potential Risks to Financial Stability? [read post]
29 Nov 2018, 1:04 pm
According to the complaint, Flynn then proceeded to recommend significant positions in illiquid investments and non-traded REITs, including a Phillips Edison REIT and a business development corporation (BDA) called Business Development Corporation of America. [read post]
29 Nov 2018, 11:58 am
Educational Credit Management Corporation v. [read post]
27 Nov 2018, 4:06 pm
Unlike most large private sector corporations today, thousands of employees at GM still enjoy some union benefits. [read post]
27 Nov 2018, 4:00 am
In terms of security policy, U.S. [read post]
24 Nov 2018, 10:08 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Dexter Thomas (Thomas), formerly associated with United Planners Financial Services of America LP (United Planners) in Dallas, Texas has been accused by his former firm over unapproved securities and making client loans. [read post]
14 Nov 2018, 9:47 am
-China Diplomatic and Security Dialogue. [read post]
6 Nov 2018, 5:16 am
National Security Agency General Counsel Glenn S. [read post]
5 Nov 2018, 2:26 pm
According to Flynn’s FINRA BrokerCheck report, he was based out of the Greenville, South Carolina branches of IFS Securities and Voya Financial Advisors. [read post]
31 Oct 2018, 9:29 am
Last December, Idaho-based Micron Technology filed a federal lawsuit in the Northern District of California against Jinhua and a Taiwanese firm, United Microelectronics Corporation (UMC). [read post]
29 Oct 2018, 2:11 pm
According to a recent report from ISS Securities Class Action Services, securities class action litigation has grown “markedly” in the last ten years, to the point that outside North America, Australia “is the jurisdiction in which a corporation is most likely to find itself defending against a class action,” and indeed other than the U.S., Australia “is pulling ahead of almost all other countries in terms of active… [read post]
26 Oct 2018, 7:27 am
Morgan Securities LLC Bustamante Family Legacy LLC Daniel Flores Woodbury Financial Services, Inc Princor Financial Services Corporation Jose Giraldo Merrill Lynch, Pierce, Fenner & Smith Inc David Lerner Associates, Inc Joshua Krize Wells Fargo Clearing Services, LLC Country Capital Management Company Francine Lanaia Windsor Street Capital, LP Meyers Associates LP… [read post]
23 Oct 2018, 3:14 pm
She has also represented private investment fund managers, registered securities broker-dealers and investment advisers on securities offerings, business transactions and regulatory compliance issues. [read post]
23 Oct 2018, 4:00 am
America, in contrast, is embracing “aggression” through the defense-forward model (and by the ongoing maturation of Cyber Command itself), and in this misguided quest for security, America will leave a reluctant China with no choice but to expand its own capabilities, with a dangerous arms spiral following. [read post]
