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31 Aug 2016, 6:51 am
Carl D. [read post]
19 Aug 2016, 6:16 am
Posted by HLS Forum on Corporate Governance and Financial Regulation, on Friday, August 19, 2016 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of August 12–August 18, 2016. [read post]
17 Aug 2016, 9:30 am
Your client’s story needs to be crafted and presented with precision and investment. [read post]
12 Aug 2016, 1:09 pm
Further, certain forms such as the LLP and LLC are subject to the Supreme Judicial Court’s Rule 3:06, which sets limits on the extent to which lawyers can reduce their malpractice liability through a legal entity. [read post]
10 Aug 2016, 1:10 pm
Vaughn Jr., and the company they co-owned, Cavalier Union Investments LLC. [read post]
22 Jul 2016, 11:01 am
Cayman Islands Publishes LLC Law. [read post]
14 Jul 2016, 6:50 pm
” “[D]ire predictions by nonexperts regarding the consequences of a project do not constitute substantial evidence. [read post]
12 Jul 2016, 8:05 am
Horning Investments, LLC, July 7, 2016, Wood, D.). [read post]
24 Jun 2016, 10:18 am
Resource Investments, Inc. v. [read post]
16 Jun 2016, 2:48 pm
According to the SEC: The federal securities laws require registered broker-dealers and investment advisers to adopt written policies and procedures reasonably designed to protect customer records and information. [read post]
12 Jun 2016, 10:41 am
The guidelines explicitly state: “[D]o not [overcharge] our customers. [read post]
9 Jun 2016, 3:28 pm
Louis-based investment advisor R.T. [read post]
After the Hulk Hogan Lawsuit Funding Flap, Is it Time for a Look at Litigation Financing Regulation?
5 Jun 2016, 5:15 pm
For example, the article cites the experience of litigation funding firm Burford Capital, LLC, which at its founding invested 100% of its funds in individual cases, in 2015 invested just 13% in individual cases. [read post]
2 Jun 2016, 5:23 am
Roger S. [read post]
1 Jun 2016, 5:12 pm
The Sixth Circuit’s Holding In Stein, plaintiffs alleged that defendants, by misrepresenting risks related to certain investment funds, had violated Sections 11, 12(a)(2), and 15 of the Securities Act and Sections 10(b) and 20(a) of the Exchange Act. [read post]
1 Jun 2016, 5:10 pm
LLC and the WFOE. [read post]
24 May 2016, 9:37 am
Second, the broker then must match the investment as being appropriate for the customer’s specific investment needs and objectives such as the client’s retirement status, long or short term goals, age, disability, income needs, or any other relevant factor. [read post]
19 May 2016, 6:43 am
Kathleen Nimmo, McDermott's custodian of records, testified: "If John D. [read post]
17 May 2016, 10:00 pm
That’s why he believes companies that embrace the EFI standards will be better investments. [read post]
3 May 2016, 5:08 pm
(“Jones”), a retirement funds investment manager. [read post]
