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13 Jul 2023, 12:22 pm
During the following months, FINRA alleges that Kim actively misled the firm’s principals, representatives, and customers, into believing that the fund had purchased Company A shares at the $9.75 price. [read post]
11 Oct 2017, 11:37 pm
Shulga is the co-founder of Ross & Shulga PLLC, a New York-based boutique law firm specializing in advising individual and corporate clients on aspects of corporate and securities law. [read post]
2 Sep 2015, 6:35 am
In July 2011, we co-chaired a committee on the disclosure of corporate political spending and served as the principal draftsmen of the rulemaking petition that the committee submitted. [read post]
6 May 2012, 8:29 pm
This is due to the fact that investors and stock markets judge them against standards imposed by corporate governance norms and practices that are generally applicable in the corporate sector. [read post]
3 Oct 2023, 12:46 pm
Rapidly growing startup companies often receive funding directly from private investors, like Venture Capital firms, Private Equity funds, or individual Angel Investors. [read post]
24 Oct 2011, 7:59 am
” Press here for funding Further, curious indeed is the author’s singling out Fannie Mae and Freddie Mac, since the Arizona Department of Housing Web site presents it this way: If you have a Government issued or insured mortgage such as a VA (Veteran’s Administration), FHA (Federal Housing Administration), Fannie Mae (Federal National Mortgage Association) or Freddie Mac (Federal Home Loan Mortgage Corporation) loan, these investors are not… [read post]
18 Oct 2018, 6:24 am
Corporations with a principal executive office in California that have shares listed on a major U.S. stock exchange will be required to have a minimum number of women on their boards of directors, under a bill signed into law on September 30, 2018, by the Governor of California. [read post]
13 Apr 2022, 10:17 am
Related research from the Program on Corporate Governance includes The Agency Problems of Institutional Investors by Lucian Bebchuk, Alma Cohen, and Scott Hirst (discussed on the Forum here); Index Funds and the Future of Corporate Governance: Theory, Evidence, and Policy by Lucian Bebchuk and Scott Hirst (discussed on the forum here); and The Specter of the Giant Three by Lucian Bebchuk and Scott Hirst (discussed on the Forum here). [read post]
13 Apr 2022, 10:17 am
Related research from the Program on Corporate Governance includes The Agency Problems of Institutional Investors by Lucian Bebchuk, Alma Cohen, and Scott Hirst (discussed on the Forum here); Index Funds and the Future of Corporate Governance: Theory, Evidence, and Policy by Lucian Bebchuk and Scott Hirst (discussed on the forum here); and The Specter of the Giant Three by Lucian Bebchuk and Scott Hirst (discussed on the Forum here). [read post]
27 Aug 2012, 9:38 am
We are a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies. [read post]
12 Jan 2022, 10:09 am
The decision — the first by the nation’s preeminent business court on a challenge to the unique SPAC type of transaction — is significant because it said Churchill’s founder, sponsor, directors and insiders failed to comply with the ordinary fiduciary duties required of other corporate officials, causing the public investors to lose more than 30 percent of their investment value when the bad news emerged post-merger about Multiplan’s imminent loss of… [read post]
18 Dec 2006, 12:29 pm
The judge, however, refused to impose penalties on Tillie Ruth Steeples (the principal) to the full extent wanted by the SEC. [read post]
27 Nov 2011, 9:46 pm
In contrast, to the extent the investment is deemed to be an equity capital contribution, then the principal amount of the investment must be capitalized into the investor's basis in the corporation's stock. [read post]
18 Aug 2011, 11:29 am
The SEC also alleges that in the first scheme, Brian Bjork, alongside business associate Joel David Salinas, offered investors corporate and other bonds through J. [read post]
2 Aug 2011, 3:22 pm
The SEC also alleges that in the first scheme, Brian Bjork, alongside business associate Joel David Salinas, offered investors corporate and other bonds through J. [read post]
29 Sep 2010, 12:07 pm
This new law also quintuples penalties for misrepresentations of membership in or protections offered by the Securities Investor Protection Corporation. [read post]
15 Nov 2009, 10:16 am
â€Â (see Bridging the Credibility Gap: Eight Corporate Liability Accounting Loopholes That Regulators Must Close written by the author for the Investor Environmental Health Network). [read post]
28 Apr 2014, 11:17 pm
Corporate Governance Code around risk management, going concern and remuneration. [read post]
24 Aug 2022, 5:38 am
Such allegations were made in a recently-filed class action complaints against Enochian and certain of its principals. [read post]
24 Aug 2022, 5:38 am
Such allegations were made in a recently-filed class action complaints against Enochian and certain of its principals. [read post]
