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4 May 2019, 12:39 pm
The affidavit was signed by a self-described employee of Transworld Systems, Inc., whom the Panel elevated to the status of a custodian of records for the occasion. [read post]
3 May 2019, 6:38 am
Kahan, Morrison & Foerster LLP, on Saturday, April 27, 2019 Tags: Cryptocurrency, Financial technology, Howey test, ICOs, SEC, Securities enforcement, Securities regulation Engaging With Your Investors Posted by David Shammai and Kiran Vasantham, Morrow Sodali, on Sunday, April 28, 2019 Tags: Boards of Directors, Engagement, ESG, Institutional Investors, Long-Term value, Stewardship Economic Value Added: What… [read post]
1 May 2019, 9:01 am
A creditor will seek relief from an automatic stay in bankruptcy if the debtor does not have “sufficient” equity in the secured property or if the secured property has not been properly insured by the debtor. [read post]
29 Apr 2019, 1:29 pm
Rockville-based Vigene Biosciences Inc. a provider of viral vector products and services used in gene therapy, has completed a substantial growth capital financing transaction with Signet Healthcare Partners (“Signet”), a New York-based growth equity firm specializing in health care investments. [read post]
26 Apr 2019, 3:00 am
Here’s an excerpt: The median level of support for environmental and social shareholder proposals as a percentage of votes cast rose from the middle single digits from 2000 until 2008 to 24% in 2018, representing record levels of support, according to proxy-advisory firm Institutional Shareholder Services Inc. [read post]
25 Apr 2019, 11:59 am
Equity Sales Company UBS Painewebber Inc Sercia, Anthony Traderfield Securities Inc Legend Securities Soto, Rani Prudential Investment Management AllianceBernstein Investments Stanley, Cornell Jr. [read post]
25 Apr 2019, 11:56 am
According to FINRA Disciplinary actions for April 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 Boj, Pedro UBS Financial Services Inc BBVA Securities of PR Brooks, Carter Wells Fargo Clearing Services LLC Edward Jones Lofaro, Patrick Rockwell Global Capital LLC Dalton… [read post]
24 Apr 2019, 8:06 am
The company is currently owned by Japanese private equity firms Unison Capital Inc. [read post]
17 Apr 2019, 2:35 pm
Ernt was registered with Foresters Equity Services, Inc. in San Diego, CA from January 4, 2011 to March 12, 2018, FINRA reports. [read post]
16 Apr 2019, 2:41 pm
He has been employed at Fortune Financial Services, Inc. in Collegeville, PA since, September 5, 2017, FINRA states, and has also been registered at the following firms: The O.N. [read post]
16 Apr 2019, 6:08 am
Posted by John Roe and Kosmas Papadopoulos, ISS Analytics, on Tuesday, April 16, 2019 Editor's Note: John Roe is Head of ISS Analytics, the data intelligence arm of Institutional Shareholder Services, Inc; and Kosmas Papadopoulos is Managing Editor and Executive Director with ISS Analytics. [read post]
12 Apr 2019, 8:25 am
Insurance Agency Peter Gomez NYLife Securities LLC New York Life Insurance Co Harris, Dionna Vanguard Marketing Corporation Henry, Omar Cetera Advisors LLC JP Morgan Securities LLC King, Erin Wells Fargo Clearing Services, LLC Wells Fargo Bank Lin, Linda Lossing, Christopher LPL Financial LLC Edward Jones McNeill, Randolph Buckman, Buckman & Reid, Inc … [read post]
9 Apr 2019, 6:00 am
The largest disclosed mega-deal was the CAD $5.1B recapitalization of GFL Environmental Inc. by a syndicate that included Ontario Teachers’ Pension Plan. [read post]
9 Apr 2019, 5:02 am
Robert Welch, Inc., Dun & Bradstreet v. [read post]
9 Apr 2019, 5:02 am
Robert Welch, Inc., and Dun & Bradstreet v. [read post]
1 Apr 2019, 10:39 am
Dependable Sales & Service, Inc. v. [read post]
22 Mar 2019, 9:52 am
Legal Support (eDiscovery and Computer Forensics Division)Business Intelligence Associates (BIA) 5-Dec-17HAYSTACK ID LLC (Investee)TCF Capital Funding (Support Of Knox Capital Holdings and Maranon Capital) in Recapitalization (Investor)$17.800,000 30-Nov-17E-STETEY 28-Nov-17AllegoryIntegreon 31-Oct-17Avalon Document Services (Merger)C:Dox (Merger) 23-Oct-17NexLP (Investment)Method Capital and Dundee Venture Capital (Investors)$3,000,000 23-Oct-17HAYSTACKID LLC (Investee)Knox Capital… [read post]
14 Mar 2019, 11:43 am
The next in our series of posts sharing key takeaways from panels at the Healthcare & Life Sciences Private Equity and Lending Conference focuses on some critical points private placement memorandum (PPM) investors should know before investing in ancillary services. [read post]
12 Mar 2019, 10:44 am
The Council of Institutional Investors (CII) and Templum, Inc. [read post]
8 Mar 2019, 5:52 am
Larcker (Stanford University), Charles McClure (University of Chicago), and Christina Zhu (University of Pennsylvania), on Tuesday, March 5, 2019 Tags: Agency costs, Boards of Directors, Executive Compensation, Firm performance, Human capital, Labor markets, Management, Peer groups, Rent-seeking An Early Look at 2019 US Shareholder Proposals Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Tuesday,… [read post]
