Search for: "Alliance Capital Management LLC"
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28 Aug 2014, 1:02 pm
The LLC may need to be adequately capitalized to mitigate against the risks of veil piercing and ascending liability. [read post]
4 Apr 2018, 7:38 am
Inc Blackbrook Capital, LLC Keisha Diane Pizzo Eric P. [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]
4 Jun 2018, 6:38 am
Turner & Company, LLC Kenneth Taylor Foreman Securities America, Inc Foothill Securities, Inc Sherie Irene Gaunt Gill Capital Partners Kimberly Pine Kitts Royal Alliance Associates, Inc Sound Financial, LLC Peter Jack Margaros State Farm VP Management Corp James Albert Pettit Ameriprise Financial Services, Inc Janney Montgomery Scott LLC Keisha… [read post]
19 Jun 2007, 3:00 pm
So did Oaktree Capital Management, LLC and MTS Health Investors, LLC in return for their investment in Alliance Imaging. [read post]
18 Oct 2010, 3:19 pm
Universal Crop Protection Alliance LLC Standard Waste Systems Ltd v. [read post]
24 Jan 2014, 6:28 am
According to FINRA the three brokers owned and controlled two companies – Allen Partners Capital, LLC (APC) and Allen Partners, LLC (AP). [read post]
4 Apr 2011, 9:02 am
$39,000 Independent Financial Group LLC $36,000 Capital Management Securities Inc [read post]
1 Jul 2019, 12:46 pm
Merrill Lynch, Pierce, Fenner & Smith Inc Heilman, Peter Edward Jones High, Robert First Financial Equity Corp Chase Investment Services Corp Irizarry, Melissa LPL Financial LLC Invest Financial Corp LaBare, Richard Union Capital Company Morgan Stanley & Co Inc Mariampolski, Arnold AXA Advisors Ohel, Ziv CFD Investments, Inc Ameriprise Financial Services,… [read post]
16 Dec 2010, 8:46 am
$39,000 Independent Financial Group LLC $36,000 Capital Management Securities Inc [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]
11 Nov 2014, 8:45 am
CNL Retirement Properties, Inc Waveland Vesta Medical, LLC ArciTerra Strategic Retail II, LLC Gentry Mills Capital (GMI – ES 14, LP) ArciTerra Real Estate Investment Trust, Inc. [read post]
6 Aug 2019, 8:52 am
According to FINRA Disciplinary actions for July 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Bender, Charles III Suntrust Investment Services, Inc JP Morgan Securities LLC Bingham, Daniel Essex Securities LLC Investors… [read post]
6 Apr 2018, 6:08 am
Fontaine, Corporate Risk Holdings LLC, and John Reed Stark, John Reed Stark Consulting LLC, on Saturday, March 31, 2018 Tags: Boards of Directors, Cybersecurity, Disclosure, Financial reporting, Risk, Risk management, Risk oversight, SEC, SEC enforcement, Securities enforcement, Securities regulation Do Director Networks Improve Managerial Learning from Stock Prices? [read post]
15 Sep 2017, 11:51 am
Barclays Capital Inc., for alleged anti-fraud violations based on alleged overbilling of advisory fees and excess mutual fund sales charges, which resulted in $97 million monetary relief. [read post]
21 May 2021, 5:54 am
Evidence from Workplace Safety and Productivity Tradeoffs in the Coal Industry Posted by Erik Gilje (The Wharton School) and Michael Wittry (Ohio State University), on Wednesday, May 19, 2021 Tags: Agency costs, Decision making, Human capital, Information asymmetries, Management, Ownership structure, Private firms, Public firms, Risk Statement by Commissioner Peirce on S&P Dow Jones Indices LLC Posted by Hester M. [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]
31 May 2012, 2:55 am
Here, the defendants established that they did not collude with the majority members of Millennium Alliance Group, LLC (hereinafter MAG), inter alia, to freeze the plaintiffs out of MAG's management and profit sharing and force them to surrender, at a reduced price, their minority membership interest in MAG. [read post]
9 Oct 2009, 5:58 am
Douglas Weaver Professor of Business Law, Harvard Business School Daniel Summerfield Co-Head of Responsible Investment Universities Superannuation Scheme Greg Taxin Managing Director, Spotlight Capital Management, LLC Founder and Former CEO, Glass, Lewis & Co. [read post]
20 Nov 2020, 6:00 am
Mangino, Fried, Frank, Harris, Shriver & Jacobson LLP, on Saturday, November 14, 2020 Tags: Boards of Directors, Conflicts of interest, Corporate fraud, Corwin, Delaware cases, Delaware law, Disclosure, Fiduciary duties, Liquidity, Management, Merger litigation, Mergers & acquisitions, Private equity, Securities litigation, Shareholder suits Statement of Commissioners Peirce and Roisman on Andeavor… [read post]
