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4 Dec 2013, 9:13 am by Doug Cornelius
The House Financial Services Committee pushed ahead a bill designed to exempt advisers to certain private equity funds from the new registration requirements imposed by Title IV of the Dodd-Frank Act. [read post]
22 Jan 2017, 8:49 am by Jerry G. Sanchez
House Committee on Financial Services Chairman Jeb Hensarling (R-TX-5) has indicated a desire to introduce a “2.0” version of the bill early in 2017 when the new Congress convenes. [read post]
11 Dec 2009, 9:40 am by Steve Hall
”  It’s the one that costs states millions, leaving many with the unpopular choice of raising taxes or cutting services. [read post]
13 Oct 2019, 8:54 am by Staff Attorney
 Had brokerage firms investigated GPB Capital’s senior manager it would have found that prior to founding GPB Capital, Gentile’s experience was as a CPA and company advisor with the accounting practice his family ran at Gentile Pismeny & Brengel, LLP (GP&B) in New York. [read post]
30 Nov 2018, 10:48 am by Fitapelli Kurta
Continue Reading The post FINRA Sanctions Healthios Capital Markets Over Alleged Unregistered Investment Banking Activities appeared first on Stock Fraud News & Information. [read post]
25 Oct 2011, 10:00 am by By MICHAEL J. DE LA MERCED
Morgan Stanley has formed a new team that aims to advise banks on capital issues while also providing debt and equity underwriting services, as European institutions continue to face pressure. [read post]
21 Jan 2016, 9:22 am by Mark Tapscott
AND IN OTHER NEWS FROM YOUR NATION’S CAPITAL: Federal civil service managers aren’t supposed to use “administrative leave” – aka paying bureaucrats not to come to work – as a tool for inducing poor performers to quit. [read post]
17 Feb 2020, 7:29 am by Staff Attorney
  Since June 2015 Raupp has been registered with Concorde Investment out of the firm’s Port Jefferson, New York office location. [read post]
4 Nov 2015, 6:02 am
It is therefore important to provide opportunities for entrepreneurs and investors to come together and put capital to productive uses through the development of new ideas, products, and services that make America stronger and create new jobs that bring financial security. [read post]
3 Oct 2010, 9:23 am
New Mountain Capital, a New York based investment firm, currently manages more than $9 billion in aggregate capital commitments. [read post]
29 Nov 2011, 8:32 am by Sixth Sense Law
It is frequently noted that, while Charlotte is a banking capital, Atlanta is a banking software capital. [read post]
7 Oct 2011, 7:35 am
“LDiscovery is a leader in providing integrated “end to end” e-discovery solutions from capturing and processing data to hosting it in a secure and robust platform that sets the new bar,” said Rick Williams, Managing Partner of WestView Capital. [read post]
20 Mar 2013, 8:47 pm by Dan Harris
You can then start billing your parent company for the service income after the capital has been used up. [read post]
5 Sep 2019, 7:21 am by Silver Law Group
To date, GPB Capital remains under investigation and no news is not good news. [read post]
24 Jan 2020, 9:58 am by Reid F. Herlihy
On December 18, 2019, the New York Department of Financial Services (DFS) issued its Final Regulations detailing the business conduct rules for mortgage loan servicers. [read post]
29 Jun 2016, 4:27 pm by Sabrina I. Pacifici
The Federal Reserve did not object to the capital plan of Morgan Stanley, but is requiring the firm to submit a new capital plan by the end of the fourth quarter of 2016 to address certain weaknesses in its capital planning processes. [read post]
23 Apr 2014, 10:02 am by By RACHEL ABRAMS
Benjamin Lawsky, New York State’s superintendent of financial services, accused the Condor Capital Corporation of siphoning millions of dollars away from borrowers' accounts. [read post]