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10 Jun 2022, 6:33 am
The SEC’s Cyber Disclosures Posted by Shiva Rajgopal (Columbia University) and Alex Sharpe (Sharpe Consulting LLC), on Friday, June 3, 2022 Tags: Cybersecurity, Ransomware, Risk, Risk disclosure, SEC, SEC rulemaking, Securities regulation CEO Pay Proposals Face Growing Investor Disapproval Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Friday, June 3, 2022 Tags: Executive Compensation, Institutional… [read post]
10 Jun 2022, 6:33 am
The SEC’s Cyber Disclosures Posted by Shiva Rajgopal (Columbia University) and Alex Sharpe (Sharpe Consulting LLC), on Friday, June 3, 2022 Tags: Cybersecurity, Ransomware, Risk, Risk disclosure, SEC, SEC rulemaking, Securities regulation CEO Pay Proposals Face Growing Investor Disapproval Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Friday, June 3, 2022 Tags: Executive Compensation, Institutional… [read post]
10 Jun 2022, 4:00 am
The charges against Navarro, the second former Trump adviser to face criminal charges in connection with rebuffing the committee, mirror those sought by the House and filed by federal prosecutors against former White House advisor Stephen Bannon after he too refused to appear or produce documents to the committee. [read post]
Recovery Options For Investors in National Realty Investment Advisors as Chapter 11 Case Is Pending.
9 Jun 2022, 9:31 am
If you were solicited by a financial advisor, investment advisor, accountant, or lawyer to invest in these private placements, you may have an actionable claim to recover your investment. [read post]
7 Jun 2022, 5:25 pm
The GUR stated that the Kremlin is threatening to nullify financial compensation to the families of Moskva crew members if they publicly discuss the sinking of the cruiser, resulting in some relatives refusing to meet with Black Sesa Fleet commanders in Sevastopol in protest. [read post]
7 Jun 2022, 9:12 am
You’ll want to consult with your CPA and financial advisor as to the best approach and amount to pay. [read post]
7 Jun 2022, 5:12 am
The claim further alleges that WestPark Capital, Inc. unsuitably invested its client in the high-risk GWG Series L Bond, securities sponsored by GWG Holdings, a Dallas-based financial services firm. [read post]
6 Jun 2022, 6:30 pm
Did you or your financial advisor predict that we would have our first worldwide pandemic in a century? [read post]
6 Jun 2022, 10:55 am
Potential Lawsuits to Recover Financial Losses This information is all publicly available and provided to you by the White Law Group. [read post]
3 Jun 2022, 7:18 am
The claim further alleges that Arete Wealth Management unsuitably invested its clients in the high-risk GWG Series L Bond, securities sponsored by GWG Holdings, a Dallas-based financial services firm. [read post]
3 Jun 2022, 6:31 am
Diamond and Henrik Patel, White & Case LLP, on Saturday, May 28, 2022 Tags: Accounting, Equity-based compensation, Institutional Investors, Management, Repricings, Say on pay, Shareholder voting, Stock options, Underwater options 2021 Climate & Voting Review and Global Trends Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Saturday, May 28, 2022 Tags: Boards of Directors, Climate… [read post]
3 Jun 2022, 6:31 am
Diamond and Henrik Patel, White & Case LLP, on Saturday, May 28, 2022 Tags: Accounting, Equity-based compensation, Institutional Investors, Management, Repricings, Say on pay, Shareholder voting, Stock options, Underwater options 2021 Climate & Voting Review and Global Trends Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Saturday, May 28, 2022 Tags: Boards of Directors, Climate… [read post]
2 Jun 2022, 4:41 pm
You’ll want to consult with your CPA and financial advisor as to the best approach and amount to pay. [read post]
2 Jun 2022, 8:49 am
It also means that advisors should be charging clients fair rates for their services. [read post]
1 Jun 2022, 2:33 pm
Legal Operators produces online learning programs, a list of legal operations software and services, job board, and an innovation hub in order to support the growing legal operations profession. [read post]
1 Jun 2022, 2:15 pm
UBS Financial Services is suing Robert Turner, of McGregor, Texas, on fraud allegations and is asking a judge to seize Turner’s assets to help UBS offset the cost of repaying its customers for some $17 million in losses. [read post]
1 Jun 2022, 9:16 am
Anthony DiDonna Equitable Advisors, LLC Travis Eiland HD Vest Insurance Services HD Vest Investment Services Jeremy Fortner Wells Fargo Clearing Services, LLC JP Morgan Chase Securities, LLC Marc Korsch Arkadios Capital Centaurus Financial, Inc. [read post]
1 Jun 2022, 8:46 am
Pruco Securities, LLC Guy Kossuth Northwestern Mutual Investment Services, LLC NYLife Securities LLC Christopher McFadden Equitable Advisors, LLC LPL Financial LLC Ann Montgomery LPL Financial LLC National Planning Corporation Michael Pau MML Investors Services, LLC MSI Financial Services, Inc. [read post]
1 Jun 2022, 8:31 am
According to FINRA Disciplinary actions for May 2022, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Kevin Harms Chelsea Financial Services Salomon Whitney Financial David Morris Stifel, Nicolaus & Company, Incorporated UBS Financial Services Inc. [read post]
29 May 2022, 3:50 am
The perceived pluses are numerous and easy to spot. [read post]
