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25 Jan 2016, 6:00 am
According to the Wall Street Journal, RCS Capital plans to file for chapter 11 bankruptcy protection under a prearranged that will allow RCS to focus on its retail brokerage firm conglomerate Cetera Financial Group. [read post]
23 Jan 2016, 10:42 am
However, FINRA’s records are not always complete according to a Wall Street Journal story that checked with 26 state regulators and found that at least 38,400 brokers had regulatory or financial red flags such as a personal bankruptcy that showed up in state records but not on BrokerCheck. [read post]
14 Jan 2016, 10:04 pm
Chipotle Mexican Grill’s executive team boosted Wall Street’s confidence in the company by characterizing the chain’s customers as confused and predicting they would all return by next year. [read post]
14 Jan 2016, 5:10 pm
EXECUTIVE COMPENSATION RULES The SEC was fairly active in 2015 when it came to addressing executive compensation and hedging rules required by the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
11 Jan 2016, 4:01 pm
ref=dealbook; see also Dan Primack, A Private Equity Conflict Grows on Wall Street, Fortune, Jan. 5, 2016, http://fortune.com/2016/01/05/a-private-equity-conflict-grows-on-wall-street/ [2] 78 Fed. [read post]
11 Jan 2016, 2:31 am
Even the Wall Street Journal, which noted that many, many Democrats and independents agree with Mr. [read post]
4 Jan 2016, 3:30 am
Hill & Painter masterfully depict how this seemingly innocuous change reshaped the structure and culture of Wall Street from the 1970s on. [read post]
2 Jan 2016, 7:58 am
The fund’s withdrawal woes began to be reported in July 2015 by the Wall Street Journal reporting that the consultant, Cliffwater LLC recommended that its clients with about $800 million invested in Claren Road comprising at that time 14% of Claren Road’s total assets under management bale on the fund. [read post]
31 Dec 2015, 10:43 am
(“Whistleblowers, SEC Are Winners in Ruling,” The Wall Street Journal, 9.11.15, Business News; B4)The Dodd-Frank Wall Street Reform and Consumer Protection Act, better known as Dodd-Frank, is an outgrowth of the 2008 Great Recession. [read post]
24 Dec 2015, 4:00 am
I majored in business administration in college and then worked as an analyst in the Corporate Finance department at a bulge bracket Wall Street firm. [read post]
23 Dec 2015, 6:58 am
Since most staff are not mandated to file the same sort of financial disclosures required of lawmakers, the flow of money can be difficult to track. [read post]
21 Dec 2015, 12:41 pm
The Dodd-Frank Wall Street Reform and Consumer Protection Act directs the Commission to review the accredited investor definition as it relates to natural persons every four years to determine whether the definition should be modified or adjusted. [read post]
14 Dec 2015, 12:07 pm
Well known for her extensive work with health care, insurance and other highly regulated entities on corporate compliance, internal controls and risk management, her clients range from highly regulated entities like employers, contractors and their employee benefit plans, their sponsors, management, administrators, insurers, fiduciaries and advisors, technology and data service providers, health care, managed care and insurance, financial services, government contractors and… [read post]
11 Dec 2015, 10:18 am
This week (December 9, 2015), the Pension Benefit Guarantee Corporation (PBGC) upgraded its e-4010 application and re-named it the PBGC e-filing portal. [read post]
10 Dec 2015, 11:48 am
However, FINRA’s records are not always complete according to a Wall Street Journal story that checked with 26 state regulators and found that at least 38,400 brokers had regulatory or financial red flags such as a personal bankruptcy that showed up in state records but not on BrokerCheck. [read post]
9 Dec 2015, 1:36 pm
Yet not one of the big bank CEOs or Wall Street executive responsible for that incomprehensible loss has ever been indicted for any kind of fraud associated with that crisis. [read post]
8 Dec 2015, 4:29 pm
According to a Wall Street Journal report (here), on November 30, 2015, the Brazilian government filed a civil lawsuit in federal court in Brasilia against Samarco, Vale, and BHP Billiton seeking 20.2 billion reais ($5.2 billion) over a period of ten years in order to provide financial compensation to persons affected by the disaster and to restore the Rio Doce river basin. [read post]
7 Dec 2015, 9:37 am
Well known for her extensive work with health care, insurance and other highly regulated entities on corporate compliance, internal controls and risk management, her clients range from highly regulated entities like employers, contractors and their employee benefit plans, their sponsors, management, administrators, insurers, fiduciaries and advisors, technology and data service providers, health care, managed care and insurance, financial services, government contractors and… [read post]
7 Dec 2015, 6:31 am
However, FINRA’s records are not always complete according to a Wall Street Journal story that checked with 26 state regulators and found that at least 38,400 brokers had regulatory or financial red flags such as a personal bankruptcy that showed up in state records but not on BrokerCheck. [read post]
6 Dec 2015, 6:34 pm
A French Classic: In a December 5, 2015 Wall Street Journal article (here), novelist Lauren Groff explains how her lifetime love of Édith Piaf’s classic song Je Ne Regrette Rien (I Regret Nothing) began when Groff found a recording of the song in her host family’s record collection during a high school exchange trip in France. [read post]
