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22 Jul 2013, 11:45 am
It would also help stop the rise of food prices worldwide, which harms poor and developing nations. [read post]
2 Oct 2014, 3:44 pm
By Catherine DeBono Holmes, Esq. and Victor T. [read post]
11 Sep 2015, 4:41 pm
Big banks offer services to lawyers, but I like the personal touch of having a banker on call. [read post]
10 Nov 2016, 8:58 am
” (Citing Banker’s Hill, Hillcrest, Park West Community Preservation Group v. [read post]
1 Sep 2016, 7:56 am
The firm failed to establish and implement an adequate supervisory system to detect and prevent violations of Section 5 of the Securities Act related to transactions of microcap securities.Morgan Stanley Smith Barney LLC of Purchase, New YorkWithout admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to adequately supervise by following firm policies and procedures to detect and cause the reporting of potentially suspicious… [read post]
7 Nov 2022, 8:38 am
It was founded by a group of investment bankers who had analyzed the construction industry, and wanted to build a decentralized and entrepreneurial consolidator in the building materials industry. [read post]
14 Aug 2014, 4:09 pm
Based on our experience representing securities issuers, broker-dealers and investment advisers, as well as EB-5 regional centers, EB-5 financing sponsors and developers, here are our suggestions on how EB-5 regional centers and EB-5 offering sponsors can comply with the U.S. securities laws without registration as securities broker-dealers. [read post]
28 Jul 2015, 1:34 pm
The case is Mach Mining, LLC v. [read post]
13 Jan 2011, 11:45 pm
(Disclosure: Mark Cuban, majority owner of Sharesleuth.com LLC, has no position in the shares of any of the companies mentioned in this report. [read post]
20 Sep 2017, 1:43 am
., Lupien, supra (holding that an alleged “banker” who took over the business of his “borrower,” and whose “loan” to the business “carried no interest and no fixed payments, but was to be repaid only” out of revenues from the business, was in fact a partner). [read post]
3 Apr 2009, 1:05 am
Bowdre certified a class of HealthSouth shareholders in a securities fraud case against HealthSouth's banker, UBS, and former CEO Richard Scrushy. [read post]
24 May 2019, 9:41 am
Our senior bankers have long-standing relationships with some of the most active, key industry executives. [read post]
15 Dec 2014, 4:44 pm
This article is the fourth in a series of articles on how EB-5 regional centers and sponsors can evaluate broker-dealer, investment company and investment adviser registration requirements under U.S. securities laws. [read post]
12 Aug 2022, 4:00 am
Officials said while Vázquez Garced was governor in 2019 and 2020, she allegedly took campaign donations from a banker, Julio Martin Herrera Velutini, and a former FBI agent, Mark Rossini, who was consulting for the bank. [read post]
11 Apr 2012, 1:13 am
Among the important questions that will need to be answered in connection with the current wave of failed bank litigation is the question of extent to which the non-director officers will be able to defend themselves in reliance on the business judgment rule. [read post]
28 Aug 2017, 1:32 pm
There, the tipper was an investment banker who provided material, nonpublic information about impending mergers to his brother who, in turn, provided the information to Salman, his brother-in-law. [read post]
21 Sep 2019, 12:14 pm
In past articles, we’ve discussed the liability protection you enjoy when you operate a business through an entity like an LLC or corporation. [read post]
29 Feb 2016, 4:43 pm
Last year also saw Delaware decisions that are likely to change the landscape of M&A litigation and interesting developments in the area of SEC enforcement. [read post]
24 Jan 2014, 12:57 am
First developed by courts over a century ago, this common law defense prevents courts from second-guessing the quality of a business decision by directors and officers. [read post]
4 Jan 2017, 3:55 pm
www.colefrieman.com January 4, 2016 Clients, Friends, Associates:While the holiday season is a cause for celebration and reflection, it is also the busiest time of the year for most investment managers. [read post]
