Search for: "Cornerstone Investors LLC"
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5 Dec 2011, 12:53 pm
Those cases suggest that regular branch office inspections over reasonably short intervals, including unannounced inspections, are the cornerstone of a well-designed branch office inspection program. [read post]
13 May 2011, 7:26 am
Deb Schwartz at AHI’s World Habitat Day event in Washington DC The tax credits are being syndicated and the fund co-managed by the National Affordable Housing Trust, a nonprofit syndicator based in Columbus, Ohio, and Cornerstone Real Estate Advisors, LLC, a unit of Massachusetts Mutual Life Insurance Company (Mass Mutual). [read post]
27 Feb 2008, 10:00 am
Introduction The idea that by engaging in fraudulent behavior one incurs liability for the foreseeable harm caused by such behavior is a cornerstone of the law. [read post]
5 Apr 2019, 6:54 am
Digital Verdict Discovery Litigation Services Diversified Legal Services Diversified Risk Management Doar Litigation Consulting Duff & Phelps Eisner Amper LLP Elite Document Technology Epiq (DTI) Ernst & Young LLP Forensic Data Services FTI Consulting/Technology GlassRatner Advisory & Capital Group LLC Gibson Arnold & Associates Guidepost Solutions LLC H5 Hancock Firm HaystackID (Inspired Review) Haley Stuart, LLC Hire Counsel HP (Autonomy) HR Legal Search… [read post]
16 Jun 2016, 2:48 pm
John Reed Stark As I noted in a recent post, on June 8, 2016, the SEC, in what one commentator called “the most significant SEC cybersecurity-related action to date,” announced that Morgan Stanley Smith Barney LLC had agreed to pay a $1 million penalty to settle charges that as a result of its alleged failure to adopt written policies and procedures reasonably designed to protect customer data, some customer information was hacked and offered for sale online. [read post]
30 Dec 2019, 3:00 pm
LLC Nathan Associates NightOwl Discovery New Jersey Legal Novus Law Nuix (Ringtail) OpenText (Catalyst, Daegis) Pathway Forensics Precise Inc. [read post]
20 Apr 2023, 1:20 pm
Kraken’s model depended on pooling the assets transferred by investors and staking them on behalf of those investors. [read post]
28 Jul 2020, 1:59 pm
The investors using this method exercise the opposing shareholders’ right to demand the buyback of shares at fair price and invite other investors to exercise the same. [read post]
3 Jan 2017, 4:28 pm
These settlements emphatically demonstrate that the era of significant investor collective investor actions outside the U.S. has arrived. [read post]
22 Feb 2016, 4:36 pm
The 1934 Act requires that pertinent information be available to investors. [read post]
22 Apr 2024, 1:11 pm
Given the potential for the return of significant IPO activity, it is worth noting that IPO transactions entail certain risks, including in particular for the IPO companies’ private equity backers, as discussed in the following guest post written by Michelle Grimaldi, Assistant Vice President, Claims, Fair American Insurance and Reinsurance Company; Elan Kandel, Member, Bailey Cavalieri LLC; and James Talbert, Associate, Bailey Cavalieri LLC. [read post]
16 Apr 2012, 10:57 pm
Cornerstone Concrete Sys., Inc., 115 S.W.3d 16, 18 (Tex. [read post]
6 Feb 2013, 9:00 pm
Communication of a compliance program is a cornerstone of any anti-corruption compliance program. [read post]
30 Aug 2023, 5:45 am
Estate Investment & Real Estate Taxes The cornerstone of any successful wealth preservation strategy in estate planning lies within real estate investment. [read post]
16 Apr 2012, 10:57 pm
Cornerstone Concrete Sys., Inc., 115 S.W.3d 16, 18 (Tex. [read post]
18 Feb 2021, 9:15 am
Google is also teaming with ParkMobile LLC to enable payment for parking via Google Maps, according to a Google blog post on Wednesday. . . . [read post]
21 Mar 2012, 11:31 am
For example, financial advisors registered through a FINRA registered broker-dealer are regulated by FINRA and any disputes arising from a financial advisors servicing of an investor’s account is generally arbitrated through FINRA dispute resolution, whereas RIAs are not currently regulated by FINRA and usually have their own dispute resolution clause – generally requiring claims to be filed through AAA (American Arbitration Association) or JAMS. [read post]
5 Nov 2020, 7:35 am
“This is a strong regulatory tightening signal,” Shujin Chen and Alfred He, equity analysts at brokerage Jefferies, said in a report for investors. [read post]
26 Nov 2018, 10:20 am
Commissioner Simons’ majority opinion The majority praises the role of advertising in efficient markets: “robust, accurate, and intelligible price competition among those who compete for consumers’ dollars is one of the cornerstones of our vibrant market economy. [read post]
6 Mar 2017, 4:26 pm
Just weeks after the Supreme Court issued its decision in Morrison, Congress passed the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”), which included a provision (Section 929P) stating that federal courts shall have jurisdiction of an action or proceeding brought or instituted by the SEC or DOJ alleging a violation of the antifraud provisions of the Exchange Act involving “(1) conduct within the United States that constitutes significant… [read post]
