Search for: "Global Risk Holdings LLC"
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11 Sep 2020, 12:13 am
Decisions this Week United StatesIndex Newspapers LLC v. [read post]
20 May 2022, 8:18 am
East West Bank referred her to a financial adviser who worked for Cetera Investment Services LLC. [read post]
13 Oct 2021, 2:29 am
GPB Holdings II LP is a private placement fund sponsored by GPB Capital Holdings, LLC, a New York-based global asset management firm. [read post]
12 May 2012, 4:25 am
FINRA has announced that three of the country's largest brokerage firm: Citigroup Global Markets, Inc ("Citigroup"); Morgan Stanley & Co., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for recommending these ETFs. [read post]
12 May 2012, 4:25 am
FINRA has announced that three of the country's largest brokerage firm: Citigroup Global Markets, Inc ("Citigroup"); Morgan Stanley & Co., LLC ("Morgan Stanley"); UBS Financial Services ("UBS"); and Wells Fargo Advisors, LLC ("Wells Fargo") were sanctioned for sales of leveraged and inverse exchange-traded funds ("ETFs") without reasonable supervision and without a reasonable basis for recommending these ETFs. [read post]
31 May 2016, 7:51 am
The S&P reported that the near future for corporate borrowers worldwide is the worst it has seen since the global financial crisis. [read post]
2 Dec 2019, 11:29 am
GPB Holdings II LP is a private placement fund sponsored by GPB Capital Holdings, LLC, a New York-based global asset management firm. [read post]
7 Jun 2018, 8:54 am
In TEC Olmos, LLC v. [read post]
14 Aug 2009, 8:34 am
TOB funds hold leveraged positions in U. [read post]
30 Oct 2019, 5:48 am
The paper also explores the degree of preparedness of Colombia’s personal data protection legal regime and data protection authorities for tackling the risks that the digital era poses to different values and rights, in an effort to hold companies accountable. [read post]
30 Jun 2010, 7:14 pm
Foreside Fund Services, LLC is the distributor of the AdvisorShares ETFs. [read post]
18 Aug 2015, 11:29 am
The Securities and Exchange Commission (SEC) announced this week that two Citigroup Affiliates, Citigroup Global Markets Inc. [read post]
6 Mar 2015, 7:05 am
Instead, it hired two advisers — Canaccord Genuity Group Inc. and Seaport Global Holdings LLC — to negotiate with bondholders on a plan to restructure its debt. [read post]
8 Nov 2023, 10:14 pm
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
22 Sep 2023, 10:39 pm
United StatesManorCare of Kingston PA, LLC v. [read post]
22 May 2012, 6:30 am
In the Matter of POM Wonderful LLC and Roll Global LLC, FTC File No. 082-3122 (May 21, 2012) Bottom line: while rejecting complaint counsel’s arguments that double-blind, randomized clinical trials were required to substantiate health claims of the sort made by Pom, the ALJ found that Pom didn’t meet the somewhat lower standard of reliable and competent scientific evidence either with respect to claims about heart health/disease, prostate health/disease,… [read post]
5 Mar 2014, 8:12 am
While cloud technologies can be implemented securely and in compliance with HIPAA/HITECH, there are still privacy and security risks. [read post]
8 Oct 2009, 2:54 am
BAHR Panel Discussion on Global Investing Trends By Bart Mallon of Mallon P.C. [read post]
1 Sep 2023, 6:30 am
CalSTRS Escalates Efforts to Hold Global Companies Accountable for Not Adequately Disclosing Climate Change Risks Posted by Rebecca Forée, and Aeisha Mastagni, California State Teachers’ Retirement System, on Friday, August 25, 2023 Tags: Board of Directors, CalSTRS, Climate change, Proxy season SEC’s New Rules on Use of Data Analytics by Broker-Dealers and Investment Advisers Posted by Hardy Callcott, Jay Baris and Laurie Kleiman, Sidley Austin LLP,… [read post]
1 Sep 2023, 6:30 am
CalSTRS Escalates Efforts to Hold Global Companies Accountable for Not Adequately Disclosing Climate Change Risks Posted by Rebecca Forée, and Aeisha Mastagni, California State Teachers’ Retirement System, on Friday, August 25, 2023 Tags: Board of Directors, CalSTRS, Climate change, Proxy season SEC’s New Rules on Use of Data Analytics by Broker-Dealers and Investment Advisers Posted by Hardy Callcott, Jay Baris and Laurie Kleiman, Sidley Austin LLP,… [read post]
