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22 Dec 2009, 3:57 pm
The solicitation covers a number of broad areas including: -Carbon & energy consulting; -Finance and investment; -Sales & marketing; -Management consulting It is anticipated that the PCT will establish a list of Qualified Suppliers that will be used to select potential candidates for a variety services during the planning, procurement and post financial close implementation phases of projects contemplated by PCT and/or PCT clients. [read post]
22 Aug 2018, 6:26 am
Some of the Woodbridge entities or Woodbridge Funds include the following: WMF Management, LLC Woodbridge Group of Companies, LLC Woodbridge Mortgage Investment Fund 1, LLC Woodbridge Mortgage Investment Fund 2, LLC Woodbridge Mortgage Investment Fund 3, LLC Woodbridge Mortgage Investment Fund PA, LLC Woodbridge Group of Companies, LLC (DBA Woodbridge Wealth) Investors who have suffered losses are encouraged to contact us at (800)… [read post]
25 Apr 2019, 9:07 am
”Commission-appointed Committee members include:Robert Fox - National Managing Partner, Professional Standards Group, Grant Thornton LLP; Chicago, ILCarla Garrett - Corporate Partner, Potomac Law Group PLLC; Washington, DCStephen Graham - Co-Chair, Fenwick & West LLP’s Life Sciences Practice; Seattle, WASara Hanks - CEO and Co-Founder, CrowdCheck, Inc.; Alexandria, VAYoungro Lee - CEO and Co-Founder, NextSeed; Houston, TXBrian Levey - Chief Business Affairs… [read post]
7 Aug 2013, 10:16 am
., a unit of Oppenheimer Holdings (OPY), today announced that Jason "Hutch" Hutchinson has joined the firm as Managing Director to lead the firm’s Technology Mergers & Acquisitions Group. [read post]
14 Jul 2016, 8:09 am
The SEC OIPA recent Securities and Exchange Commission ("SEC") enforcement action alleges that investment advisory firm RiverFront Investment Group LLC, which was a registered investment adviser ("RIA") with the SEC since 2008, marketed a wrap fee program to i... [read post]
10 Apr 2023, 11:49 am
The firm is dual registered as a brokerage firm and an investment advisory firm, CRD#: 44856/SEC#: 8-50854. [read post]
Peter Madoff 10 Sentence For Defrauding ERISA Plans Reminder Manage Plan Investment Responsibilities
27 Dec 2012, 3:45 am
Securities and Exchange Commission (“SEC”) that materially misstated the nature and scope of BLMIS’s Investment Advisory (“IA”) business. [read post]
1 Jul 2019, 9:42 am
The Securities and Exchange Commission today charged Fieldstone Financial Management Group LLC and its principal Kristofor R. [read post]
24 Jan 2012, 12:06 pm
If you are an investor that has suffered losses investing with Jon Harder or in Sunwest Management, please contact one of our attorneys to discuss your recovery options. [read post]
11 Aug 2021, 9:26 am
” After August 16, a “qualified client” is a person that: (i) has at least $1.1 million in assets under management with the investment adviser immediately after entering into the advisory contract (AUM test); or (ii) has a net worth (in the case of a natural person client, together with assets held jointly with a spouse) that the investment adviser reasonably believes is in excess of $2.2 million immediately prior to entering into the… [read post]
17 Jun 2011, 1:08 am
In Janus Capital Group, Inc. and Janus Capital Management LLC v. [read post]
29 Jul 2023, 6:30 am
It’s the moniker, according to Politico, ascribed to the plan of the House Financial Services Committee, reflected in this interim report from its ESG Working Group, “to spend the next few weeks holding hearings and voting on bills designed to send a clear signal: Corporations, in particular big investment managers, should think twice about integrating climate and social goals into their business plans. [read post]
29 Jul 2023, 6:30 am
It’s the moniker, according to Politico, ascribed to the plan of the House Financial Services Committee, reflected in this interim report from its ESG Working Group, “to spend the next few weeks holding hearings and voting on bills designed to send a clear signal: Corporations, in particular big investment managers, should think twice about integrating climate and social goals into their business plans. [read post]
13 Dec 2019, 6:39 am
The managing entity is EcoVest Capital, according to the Form D. [read post]
4 Jul 2009, 11:26 am
This makes it difficult for hedge fund managers to really know exactly what is required in each state unless they have representation from a specialized compliance group or hedge fund attorney. [read post]
27 Sep 2016, 6:44 am
The investment advisers, Advantage Investment Management, LLC (“AIM”) and Washington Wealth Management, LLC (“WWM”) failed to disclose receipt of revenue from third-party broker-dealers in the form of forgivable loans and the consequent conflicts of interest. [read post]
18 May 2017, 7:41 am
The Order alleges that Barclays Capital, in its capacity as a dually-registered investment adviser and broker-dealer, overcharged advisory clients in the course of its wealth and investment management business. [read post]
20 Sep 2019, 3:33 pm
Indexing giant Vanguard Group plans to launch a robo-advisory service that cuts out human financial advisers completely. [read post]
24 Jan 2012, 7:24 am
For more than 30 years, Steve Fraidin's practice has focused on the representation of major companies and investment groups in acquisitions and proxy contests, and special committees and boards of directors regarding mergers and acquisitions, corporate governance and other matters. [read post]
5 Sep 2009, 8:00 am
Duane Rath Professor Emeritus of Accounting University of Chicago Booth School of Business Board Member MainStay Group of Funds [read post]
