Search for: "Mutual Management Services LLC"
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24 May 2016, 7:38 am
Common non-correlating strategies include: market neutral, managed futures and currency hedging strategies. [read post]
11 Oct 2019, 7:34 am
Tonkovic, J.D.The district court sitting in Manhattan has dismissed a breach of fiduciary duty claim against Calamos Advisors LLC. [read post]
19 Mar 2014, 1:45 pm
In the Lawson case, two former employees filed suit against FMR and other related private companies that provide, under contract, investment advisory services to the Fidelity family of mutual funds, alleging unlawful retaliation under SOX. [read post]
19 Mar 2014, 7:21 am
The two plaintiffs in this suit were FMR, LLC employees who raised issues with accounting practices related to the company’s services on behalf of the mutual funds. [read post]
15 Sep 2017, 11:51 am
I have been fortunate to work cooperatively and collegially with professionals, all of whom have been bound by our deep commitment to public service. [read post]
31 Jul 2012, 1:58 pm
According to the US Court of Appeals for the 9th Circuit, a lower court was in error when it dismissed on the grounds of timeliness investors’ putative securities fraud class action lawsuit accusing the American Funds mutual fund family of charging marketing and management fees that were too high and giving brokers improper kickbacks. [read post]
11 Mar 2014, 9:31 am
As background, plaintiffs Lawson and Zang separately initiated lawsuits against their former employer, a privately held company that provided advisory management services to the Fidelity family of mutual funds. [read post]
15 May 2020, 7:44 pm
An operating agreement is a written, private document among the Series LLC members that sets forth the ownership, management structure, and operating procedures for the LLC. [read post]
25 Jan 2019, 10:44 am
That evening, one of the airline managers called Alstate to complain about subpar customer service, which ultimately resulted in the termination of Greenidge and his three coworkers. [read post]
5 Apr 2023, 2:05 pm
While soliciting individual advisory clients to invest in mutual fund strategies managed by Atlas, Packerland purportedly recommended the purchase of a certain class of mutual fund shares that imposed a 1% annual service fee, while failing to disclose that a lower-cost but otherwise identical share class was available. [read post]
28 Aug 2018, 11:30 am
Craft Capital Management LLC David Rodgers Allstate Financial Services, LLC Rodgers Capital Management Michael Sekusky Jimmy Tran J.P. [read post]
30 Oct 2023, 1:15 pm
“Retail and institutional investors rely on accurate disclosures of the companies that make up a closed-end or mutual fund’s portfolio to evaluate a current or prospective investment in the fund,” said Andrew Dean, Co-Chief of the Enforcement Division’s Asset Management Unit. [read post]
15 Oct 2008, 10:30 pm
Stanley O'Neil, Former CEO, Merrill Lynch in The Top Five Wealth Management Needs of Investors, June 15, 2001. [read post]
28 Apr 2010, 6:00 am
Download West Bend Mutual Ins. [read post]
25 Apr 2013, 8:29 pm
In Pier Sixty, LLC, 2013 WL 1702462 (NLRB Div. of Judges Apr. 18, 2013), the service staff of a catering company were in the process of taking a vote on union representation when a staff member (Perez) got upset by what he perceived as harassment by his manager. [read post]
8 May 2019, 1:21 pm
; New York Party Shuttle, LLC v. [read post]
21 Mar 2016, 8:54 am
Investment Services LLC, and Sethi Financial among others. [read post]
8 Feb 2021, 4:40 am
Most provisions in the NY LLC Law are default rules, and members are free to adopt those or almost any other rules governing the ownership and management of the LLC. [read post]
21 Aug 2018, 5:17 am
Morgan Securities LLC Mutual of Omaha Investor Services, Inc. [read post]
25 Oct 2023, 12:36 pm
“Retail and institutional investors rely on accurate disclosures of the companies that make up a closed-end or mutual fund’s portfolio to evaluate a current or prospective investment in the fund,” said Andrew Dean, Co-Chief of the Enforcement Division’s Asset Management Unit. [read post]
