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30 Nov 2023, 1:58 pm
” Again, Skrabonja denies the allegations, having left in 2015, and mentions a coworker “to act as a money manager for the portfolio,” who should be involved. [read post]
30 Nov 2023, 9:55 am
See also: Kovack Securities Inc. [read post]
21 Nov 2023, 2:26 pm
Diamond was previously registered with an Atlanta-based broker-dealer called Kalos Capital Inc. when he sold GPB’s securities. [read post]
15 Nov 2023, 5:10 am
KLDiscovery Inc. [read post]
3 Nov 2023, 6:30 am
Posted by Alyssa Stankiewicz and Lindsey Stewart, Morningstar, Inc, on Monday, October 30, 2023 Tags: anti-ESG, ESG, ETFs, Shareholders Machine-Learning the Skill of Mutual Fund Managers Posted by Ron Kaniel (University of Rochester Simon Business School), on Tuesday, October 31, 2023 Tags: CFNAI, Mutual funds, stock market, US Equity Funds The Compensation Committee’s Evolving Role in Human Capital Management Posted by Blair Jones, Rachel Ki, and… [read post]
3 Nov 2023, 6:30 am
Posted by Alyssa Stankiewicz and Lindsey Stewart, Morningstar, Inc, on Monday, October 30, 2023 Tags: anti-ESG, ESG, ETFs, Shareholders Machine-Learning the Skill of Mutual Fund Managers Posted by Ron Kaniel (University of Rochester Simon Business School), on Tuesday, October 31, 2023 Tags: CFNAI, Mutual funds, stock market, US Equity Funds The Compensation Committee’s Evolving Role in Human Capital Management Posted by Blair Jones, Rachel Ki, and… [read post]
20 Oct 2023, 2:40 pm
The Preferential Treatment Rule prohibits an adviser from giving preferential treatment to a prospective investor relating to (i) redemption rights and (ii) information rights of portfolio holdings which the adviser believes would have a material, negative effect on other investors. [read post]
9 Oct 2023, 9:05 pm
Davis Inc. [read post]
9 Oct 2023, 2:34 pm
Where the contested dividend recap was driven by private equity investors (as is typically the case), the resulting lawsuit will often name the portfolio company’s private equity investors, including the management entity and any implicated funds. [read post]
2 Oct 2023, 9:50 am
This could include through a “voting interest” or other governance rights, such as “the right to appoint [board] members, influence capital budgets, determine investment return thresholds, or select particular managers[.] [read post]
25 Sep 2023, 9:03 am
Carey (NYSE:WPC) shares took a hit on September 21st after management announced that the company will be ditching its entire office portfolio. [read post]
19 Sep 2023, 7:00 am
The firms were Artemis Wealth Advisors, LLC; Trowbridge Capital Partners, LLC; MRA Advisory Group; McElhenny Sheffield Capital Management, LLC; Macroclimate, LLC; Linden Thomas Advisory Services, LLC; Hansen & Associates Financial Group, Inc.; Elm Partners Management, LLC; BTS Asset Management Inc. and Banorte Asset Management, Inc. [read post]
14 Sep 2023, 12:21 pm
SEC Order – BTS Asset Management Inc. [read post]
16 Aug 2023, 8:31 am
In one such example, the board of Pacific Oak Strategic Opportunity REIT Inc., a publicly registered non-traded REIT, sent a letter to its shareholders recommending that they reject an unsolicited mini-tender offer from West 4 Capital LP. [read post]
25 Jul 2023, 10:43 am
Exterro and ModeOne Announce Global Strategic Partnership Exterro Inc., (“Exterro”), the preferred provider of Legal GRC software specifically designed for in-house legal, privacy, and IT teams at Global 2000 and AmLaw 200 organizations, and ModeOne Technologies, Inc. [read post]
20 Jul 2023, 10:45 am
SagePoint Financial Inc. [read post]
5 Jul 2023, 12:52 pm
FINRA Panel Orders Hightower to Refund GPB Purchases According to FINRA Award 19-03721, a FINRA arbitration panel ordered Hightower Securities to fully refund its customer’s purchases of GPB Automotive Portfolio LP and GBP Waste Management LP, after Hightower Securities recommended the purchases. [read post]
3 Jul 2023, 6:31 am
Posted by Lindsey Stewart, Morningstar, Inc., on Monday, July 3, 2023 Editor's Note: Lindsey Stewart is Director of Investment Stewardship Research at Morningstar, Inc. [read post]
3 Jul 2023, 6:31 am
Posted by Lindsey Stewart, Morningstar, Inc., on Monday, July 3, 2023 Editor's Note: Lindsey Stewart is Director of Investment Stewardship Research at Morningstar, Inc. [read post]
27 Jun 2023, 9:01 pm
While shareholder proposals that limit management entrenchment can add value to a company,[27] others may not. [read post]
