Search for: "Alliance Capital Management LLC"
Results 1 - 20
of 111
Sort by Relevance
|
Sort by Date
7 May 2024, 7:35 am
Negligence involving GPB Capital Offerings November 2022 – According to FINRA, between May 4, 2018, and June 29, 2018, FSC Securities, Royal Alliance, SagePoint Financial, and Woodbury Financial negligently failed to disclose to investors crucial information regarding an offering related to GPB Capital Holdings, LLC. [read post]
10 Jan 2024, 6:32 am
CG Oncology, which is backed by ORI Capital, Decheng Capital, Longitude Venture Partners, and others, is developing a treatment for bladder cancer. [read post]
21 Nov 2023, 2:26 pm
His last listed employer is Supreme Alliance, LLC, (CRD# 45348) of Charlotte, NC, and he was registered there until 1/6/2022. [read post]
5 Nov 2023, 1:02 pm
And for those interested in the subject, the SEC has announced it will propose a rule on “human capital management” that commentators have speculated will be even more expansive than this Nasdaq rule. [read post]
16 Aug 2023, 9:04 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated [read post]
20 Jun 2023, 8:17 am
(CRD#:37), DENVER, CO, B, 03/04/2020 – 10/08/2020, SUPREME ALLIANCE LLC (CRD#:45348), CHARLOTTE, NC B, 01/02/2015 – 05/02/2018, CAPITAL ONE INVESTING, LLC (CRD#:45744), Houston, TX B, 05/13/2014 – 01/02/2015, CAPITAL ONE INVESTMENT SERVICES LLC (CRD#:25658), BEAUMONT, TX Failure to Supervise All broker-dealers have a responsibility to adequately supervise its… [read post]
9 May 2023, 9:01 pm
There is a wide diversity of practice as to exactly what information the stockholder nominees must disclose, with some bylaws and questionnaires broadly covering the nominee’s conflicts and the nominating stockholder’s alliances and interests, while others are more narrowly focused on information required for regulatory filings. [read post]
30 Mar 2023, 6:52 am
Specifically, FSC Securities, Royal Alliance, SagePoint Financial and Woodbury Financial allegedly negligently failed to communicate to investors that in an offering that GPB Capital Holdings, LLC failed to timely make required filings with the Securities and Exchange Commission, including filing audited financial statements. [read post]
28 Jan 2023, 7:32 am
Firms and funds with acute interest in ESG are adamant that issues such as climate change and human capital management are financially material, albeit non-traditional, issues. [read post]
9 Jan 2023, 9:01 pm
(now known as Walgreens Boots Alliance Inc.) and investors reached a $105 million settlement for alleged fraudulent conduct in 2014. [read post]
5 Jan 2023, 2:22 pm
Allegations relate to the financial crisis from over a decade ago where a number of financial institutions – including Deutsche Bank Securities, RBS Securities, and Wachovia Capital Markets – misled investors within offering documents on various securities issued by NovaStar. [read post]
21 Sep 2022, 6:26 pm
The new settlements require the four companies — CarMax, Axis Analytics LLC (aka Axis Group), Capital One Bank and Walmart — to pay a total of $331,520 in civil penalties, depending on the number of discriminatory advertisements they posted. [read post]
25 May 2022, 4:56 am
Bowles and Robert Gorence don’t seem to be willing to concede anything with both civil and criminal ramifications with potential consequences from bankruptcy to capital punishment. [read post]
8 Apr 2022, 2:05 am
(Boston, MA) Senior Counsel, New Energy Equity, LLC (Annapolis, MD) Corporate Counsel, Tempus Labs (Chicago, IL) Sr. [read post]
1 Feb 2022, 4:08 pm
Medicare Part C pays a capitated amount to private health insurance carriers for each patient enrolled in their plans, rather than a payment for each distinct patient admission or service. [read post]
27 Sep 2021, 12:59 pm
Alvarez, managing principal at BridgeCounsel Strategies LLC. [read post]
6 Aug 2021, 6:00 am
Epstein (Third Creek Advisors LLC), Robert Lamm (Deloitte LLP), and Jim Parkin (Deloitte & Touche LLP), on Friday, July 30, 2021 Tags: Board composition, Board dynamics, Board oversight, Board performance, Boards of Directors, Small firms Five Elements of Activist Stewardship: Insights from Two Letters Posted by Robert G. [read post]
12 Jul 2021, 7:11 am
McCree Collegiate Professor of Law, Michigan Law Anita Carr Shapiro (In Memoriam), President Emerita, Practising Law Institute Nikki Shaver, Managing Director of Innovation and Knowledge, Paul Hastings Evan Shenkman, Chief Knowledge and Innovation Officer, Fisher Phillips Daryl Shetterly, Director of Orrick Analytics, Orrick, Herring & Sutcliffe LLP Barry Simpson, Executive Director, Pennsylvania Bar Association Alex Smith, Global Product Management Lead, iManage RAVN Brad… [read post]
12 Jul 2021, 7:00 am
McCree Collegiate Professor of Law, Michigan Law Anita Carr Shapiro (In Memoriam), President Emerita, Practising Law Institute Nikki Shaver, Managing Director of Innovation and Knowledge, Paul Hastings Evan Shenkman, Chief Knowledge and Innovation Officer, Fisher Phillips Daryl Shetterly, Director of Orrick Analytics, Orrick, Herring & Sutcliffe LLP Barry Simpson, Executive Director, Pennsylvania Bar Association Alex Smith, Global Product Management Lead, iManage RAVN Brad… [read post]
12 Jul 2021, 7:00 am
Jelena Madir, General Counsel, Gavi, the Vaccine Alliance. [read post]
