Search for: "Investment Management Advisory Group"
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18 Oct 2019, 10:11 am
These transactions occur when investment advisers execute client transactions as a broker or dealer, either acting as a broker or dealer for its advisory client or doing so for both its advisory client and its brokerage client on the other end of the same transaction. [read post]
2 Jul 2013, 12:28 pm
A Fellow in the American College of Employee Benefit Council, immediate past Chair of the American Bar Association (ABA) RPTE Employee Benefits & Other Compensation Group and current Co-Chair of its Welfare Benefit Committee, Vice-Chair of the ABA TIPS Employee Benefits Committee, a council member of the ABA Joint Committee on Employee Benefits, and past Chair of the ABA Health Law Section Managed Care & Insurance Interest Group, Ms. [read post]
3 Nov 2009, 5:14 pm
Who does that managing? [read post]
4 Aug 2014, 2:34 pm
The Commission’s complaint alleged that defendant Bard, an investment adviser, and his solely-owned company Vision Specialist Group LLC had violated the federal securities laws through fraudulent misrepresentations regarding client investments, account performance and advisory fees, and by Bard’s creation of false client account statements, forgery of client documents. [read post]
10 Apr 2013, 1:42 pm
A Fellow in the American College of Employee Benefit Council, immediate past Chair of the American Bar Association (ABA) RPTE Employee Benefits & Other Compensation Group and current Co-Chair of its Welfare Benefit Committee, Vice-Chair of the ABA TIPS Employee Benefits Committee, a council member of the ABA Joint Committee on Employee Benefits, and past Chair of the ABA Health Law Section Managed Care & Insurance Interest Group, Ms. [read post]
20 Jul 2023, 10:44 am
Finally, we’re pleased to welcome Brett Bunnell as a Counsel and Thomas Gaffney as an Associate in our Corporate and Transactional practice group. [read post]
19 Oct 2016, 1:04 pm
Stamer helps management manage. [read post]
13 May 2021, 3:03 am
At the end of March, the PCAOB announced the formation of a new 18-person “Standards Advisory Group. [read post]
1 Apr 2021, 8:44 am
Binding all retailers to the litigation strategy and settlement terms acceptable to such a small group of non-representative plaintiffs is patently unfair. [read post]
15 Aug 2016, 3:32 am
The same amount invested in the companies with the lowest-paid CEOs would have grown to $367. [read post]
30 Oct 2011, 12:49 pm
Recently selected for induction as a Fellow in the American College of Employee Benefit Council and for extensive work and accomplishments in the employee benefits area, immediate past Chair of the American Bar Association (ABA) RPTE Employee Benefits & Other Compensation Group and current Co-Chair of its Welfare Benefit Committee, Vice-Chair of the ABA TIPS Employee Benefits Committee, a council member of the ABA Joint Committee on Employee Benefits, and past Chair of the ABA… [read post]
30 Oct 2011, 1:55 pm
Recently selected for induction as a Fellow in the American College of Employee Benefit Council and for extensive work and accomplishments in the employee benefits area, immediate past Chair of the American Bar Association (ABA) RPTE Employee Benefits & Other Compensation Group and current Co-Chair of its Welfare Benefit Committee, Vice-Chair of the ABA TIPS Employee Benefits Committee, a council member of the ABA Joint Committee on Employee Benefits, and past Chair of the ABA… [read post]
21 May 2015, 9:00 am
Environmental Protection Agency (EPA) for its failure to act on the South Coast Air Quality Management District's (SCAQMD) plan to reduce particulate matter, or soot. [read post]
16 Aug 2021, 8:12 am
Maintaining existing donor relationships to ensure positive returns on investment. [read post]
17 Dec 2018, 3:14 pm
John Reed Stark On November 29, 2018, the SEC announced that it had settled charges with boxer Floyd Mayweather Jr. and music producer DJ Khaled for failing to disclose payments they received for promoting investments in Initial Coin Offerings (ICOs). [read post]
3 May 2012, 1:14 pm
According to the indictment, Life Associates offered its housing agency clients access to a group life insurance program through Principal Financial Group (formerly known as Principal Mutual Holding Company), based in Des Moines, Iowa, that provided investment management services to the housing authorities. [read post]
3 May 2012, 1:14 pm
According to the indictment, Life Associates offered its housing agency clients access to a group life insurance program through Principal Financial Group (formerly known as Principal Mutual Holding Company), based in Des Moines, Iowa, that provided investment management services to the housing authorities. [read post]
27 Aug 2010, 11:50 am
What Changes Now Rule 14a-11 New Rule 14a-11 will apply to companies reporting under the Exchange Act, including companies subject to the Investment Company Act of 1940. [read post]
9 Mar 2023, 1:53 pm
But we need to invest a lot of effort and a lot of work into it. [read post]
11 Mar 2014, 8:48 am
Plaintiffs in Lawson were employees of privately-held investment advisory and management firms that provided services to the Fidelity family of mutual funds, publicly-traded companies which themselves had no employees. [read post]
