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23 Sep 2018, 8:23 am
The law offices of Gana Weinstein LLP have filed complaints before The Financial Industry Regulatory Authority (FINRA) on behalf of multiple clients against brokerage firm Comprehensive Asset Management and Servicing, Inc. [read post]
21 Sep 2018, 8:33 am
Barnabas Community Enters., Inc. [read post]
21 Sep 2018, 6:10 am
CEO Pay Trends Posted by Alex Knowlton, Equilar Inc., on Friday, September 14, 2018 Tags: Equity-based compensation, Executive Compensation, Firm performance, Incentives, Long-Term value, Management, Pay for performance, Performance measures, Say on pay Would a Shift to Semiannual Reporting Really Affect Short-Termism? [read post]
20 Sep 2018, 2:27 pm
Also facing SEC charges are Jezierski, Merrill, and Ledford’s numerous entities, including: Delmarva Capital, LLC LLC Rhino Capital Group, LLC Global Credit Recovery, LLC Riverwalk Financial Corporation Rhino Capital Holdings, DeVille Asset Management LTD The SEC wants disgorgement, prejudgment interest, and financial penalties. [read post]
20 Sep 2018, 8:52 am
The Securities and Exchange Commission brought an action against SeaWorld Entertainment Inc. and its former CEO. [read post]
10 Sep 2018, 3:43 am
As background, Feldmeier Equipment, Inc. [read post]
7 Sep 2018, 9:28 am
Permal Group Inc., a former asset management subsidiary of Legg Mason, partnered with French bank Société Générale to pay $26.5 million in bribes to officials under Muammar Gaddafi. [read post]
4 Sep 2018, 3:35 pm
Supreme Court issued its unanimous decision in Cyan, Inc. v. [read post]
31 Aug 2018, 11:11 am
” to be used for an LLC or Limited Partnership. [read post]
29 Aug 2018, 6:06 pm
The “Inc. [read post]
29 Aug 2018, 8:32 am
Collectively, the entities, AEGON USA Investment Management LLC (AUIM), its affiliated brokerage firm Transamerica Capital Inc., as well as its affiliated investment advisers Transamerica Financial Advisors Inc. and Transamerica Asset Management Inc., will pay $97M to retail investors that were impacted. [read post]
27 Aug 2018, 5:00 pm
Collectively, the entities, AEGON USA Investment Management LLC (AUIM), its affiliated brokerage firm Transamerica Capital Inc., as well as its affiliated investment advisers Transamerica Financial Advisors Inc. and Transamerica Asset Management Inc., will pay $97M to retail investors that were impacted. [read post]
27 Aug 2018, 3:41 pm
By “freezing” LIBOR by fiat at 2005 and 2007 levels, Justice Brown has managed to deliver a Category 5 windfall to Mr. [read post]
21 Aug 2018, 9:17 am
As a result, many, if not most, individuals in Puerto Rico with brokerage accounts use UBS, resulting in UBS managing roughly $10 billion of assets of Puerto Rico residents. [read post]
16 Aug 2018, 6:34 am
(“ISS”) has differentiated between traditional poison pills used to protect against unsolicited takeovers and other coercive transactions and NOL poison pills used to protect and preserve a company’s tax assets, primarily tax operating loss carryforwards. [read post]
16 Aug 2018, 6:00 am
Institutional investors, such as Vanguard and BlackRock Inc. are pushing companies for information on their how their assets will fare in a low-carbon economy. [read post]
15 Aug 2018, 9:37 am
Inthat case, certain claims recited non-abstract features of adigital asset management system that the specificationdescribed as unconventional improvements over conventionalsystems. [read post]
9 Aug 2018, 6:21 pm
Golden voluntarily dismissed defendant GoldenTree Asset Management from this action.The Amended ComplaintMs. [read post]
9 Aug 2018, 12:50 pm
Hector May was formerly a Securities America registered representative, who reportedly managed more than $18 million in assets according to his Form ADV. [read post]
7 Aug 2018, 9:07 am
Americas (DBTCA), a depository bank, and Deutsch Bank Securities Inc. [read post]
