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5 Mar 2012, 11:42 am
The White Law Group is investigating Chase Investment Services Corporation’s sales practices involving unit investment trusts (UITs) and floating rate loan funds. [read post]
5 Mar 2012, 11:42 am
The White Law Group is investigating Chase Investment Services Corporation’s sales practices involving unit investment trusts (UITs) and floating rate loan funds. [read post]
1 Mar 2012, 3:39 pm
The LLC was funded by outside investors who owned a minority interest in the LLC. [read post]
25 Feb 2012, 3:13 pm
An REIT is a trust, corporation, or association that owns income-producing real estate. [read post]
22 Feb 2012, 6:08 am
The top two reasons cited in the post potentially apply to my new client: 1 – Many Investors Don’t Like LLCs - Investors frequently don’t want to complicate their personal tax situation by becoming a member in an entity taxed as a partnership and then receiving Forms K-1 and being taxed on the entity’s income even if no cash is distributed to them to pay the taxes. 2 – Many Investors Can’t Invest in LLCs - Some investors (such as… [read post]
18 Feb 2012, 5:15 am
These are companies that are organized to staff the Funds marketed as Fidelity Investments and registered with the SEC. [read post]
17 Feb 2012, 5:41 am
In this light, a pilot program has been initiated by a health policy foundation, The Commonwealth Fund, to help provide more consistency in the care that is provided to patients. [read post]
The SEC and Small Capital Formation: The Advisory Committee on Small and Emerging Companies (Part 1)
17 Feb 2012, 5:00 am
Borer III, Senior Managing Director and Head of Investment Banking, Rodman & Renshaw LLC, New York, N.Y. [read post]
16 Feb 2012, 1:03 pm
Fidelity Management & Research LLC, et al., No. 10-2240 (1st Cir. [read post]
16 Feb 2012, 10:03 am
Fidelity Management & Research LLC, et al., No. 10-2240 (1st Cir. [read post]
14 Feb 2012, 12:39 pm
The seven individuals, who worked at three different hedge funds and two other investment firms, in an industry dubbed "Perfect Hedge," used the information regarding Dell, to net more than $60 million in illegal profits for the three hedge funds. [read post]
10 Feb 2012, 1:25 pm
Inc. and its subsidiary Morgan Stanley Smith Barney LLC were fined $1 million by FINRA for excessive markups and markdowns in corporate and municipal bond transactions. [read post]
8 Feb 2012, 4:29 am
Private investment firms come and go. [read post]
7 Feb 2012, 9:28 am
The plaintiffs, who alleged unlawful retaliation by their corporate employers, were two employees of private companies acting under contract as advisers to and managers of mutual funds. [read post]
2 Feb 2012, 2:11 pm
The investors we have spoken to have indicated that certain Morgan Keegan financial advisors marketed and sold these funds as investments similar to corporate bonds and preferred stocks. [read post]
27 Jan 2012, 8:45 am
Keep in mind that offshore wind farms, such as Cape Wind, also face local hurdles to development, oftentimes in the form of opposition by well-funded citizen groups. 2. [read post]
26 Jan 2012, 5:00 am
“Business dealings” include, among other things, “contracts for investment of pension funds” and transactions with “lobbyists”. [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]
18 Jan 2012, 2:40 pm
Tortora and caused insider trades at his firm; and • Danny Kuo, a vice-president and fund manager at an investment adviser who also was tipped by Mr. [read post]
17 Jan 2012, 10:13 am
The law requires disclosure of payments for food, entertainment, gifts, consulting fees, honoraria, research funding or grants, education or conference funding, royalties or licenses, and charitable contributions. [read post]
