Search for: "International Assets Advisory, LLC"
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14 Mar 2013, 8:25 am
Rubin apparently continued to refer additional NFL players while registered as a broker with Alterna and International Assets Advisory, LLC. [read post]
4 Nov 2009, 7:59 am
Schwabe - Managing Partners of Forum Capital Securities, LLC Forum Capital Concurs wholeheartedly with those persons and entities that have commented on the Proposed Rule to date that banning investment advisers from compensating third-party placement agents for securing capital commitments from public pension fund investors would: Unfairly advantage private investment firms large enough to employ an internal marketing and investor relations staff over those firms that cannot… [read post]
22 May 2012, 1:37 pm
In addition to Hutcheson, defendants include Hutcheson Walker Advisors LLC; Green Valley Holdings LLC; and the Retirement Security Plan and Trust, formerly known as the Pension Liquidity Plan and Trust. [read post]
13 Feb 2023, 5:59 am
[v] The court also considered Delaware’s strong interest in providing a forum for disputes regarding the internal affairs of LLCs formed under its laws. [read post]
24 Dec 2021, 6:26 am
Peregrine, McDermott, Will & Emery LLP, on Monday, December 20, 2021 Tags: Accounting, Accounting standards, Audits, Boards of Directors, Corporate fraud, External auditors, Financial regulation, Internal auditors, PCAOB, Sarbanes–Oxley Act, Securities regulation Corporate Implications from COP26 Posted by Lee Anne Hagel and Kilian Moote (Georgeson) and Harry Etra (HXE Partners LLC), on Monday, December… [read post]
29 Jan 2024, 12:00 pm
The SEC was seeking injunctive relief, an asset freeze, an accounting, disgorgement, and civil penalties. [read post]
4 Apr 2011, 9:02 am
$88,000 Intervest International Equities Corp [read post]
4 Jun 2015, 11:30 am
Lacewell will continue her advisory role in the Executive Chamber as Counselor to the Governor. [read post]
4 Jun 2015, 11:30 am
Lacewell will continue her advisory role in the Executive Chamber as Counselor to the Governor. [read post]
Peter Madoff 10 Sentence For Defrauding ERISA Plans Reminder Manage Plan Investment Responsibilities
27 Dec 2012, 3:45 am
Securities and Exchange Commission (“SEC”) that materially misstated the nature and scope of BLMIS’s Investment Advisory (“IA”) business. [read post]
8 Oct 2021, 6:00 am
DuClos, Sidley Austin LLP, on Tuesday, October 5, 2021 Tags: Capital formation, Institutional Investors, IPOs, Mergers & acquisitions, PIPE, Shareholder activism, SPACs, Special purpose vehicles Director Pay Levels Were Flat Among the 100 Largest US Companies Posted by Dan Laddin, Matt Vnuk, and Whitney Cook, Compensation Advisory Partners, LLC, on Tuesday, October 5, 2021 Tags: Board independence, Boards of… [read post]
25 Feb 2010, 8:40 pm
Madoff Investment Securities, LLC (“BLMIS”). [read post]
31 Jul 2013, 5:10 pm
The four plan sponsors are closely affiliated with Lexington-based Revstone Industries LLC and Spara LLC. [read post]
21 Sep 2018, 6:10 am
Sitkoff (Harvard Law School), on Thursday, September 20, 2018 Tags: DOL, Duty of loyalty, Endowments, ESG, Fiduciary duties, Impact investing, Pension funds, Prudence, Risk Expulsion of LLC Member Posted by Jason Halper, Nathan Bull, and James Fee Rahman, Cadwalader, Wickersham & Taft LLP, on Thursday, September 20, 2018 Tags: Contracts, Corporate forms, Delaware cases, Delaware… [read post]
5 Oct 2022, 12:03 pm
Caremark PHC, LLC, et al. [read post]
19 Feb 2021, 5:43 am
Robles, Jr., Morgan Lewis & Bockius LLP, on Thursday, February 18, 2021 Tags: Beneficial owners, Corporate forms, Corporate Transparency Act, Disclosure, Foreign firms, Incorporations, International governance, LLCs, Money laundering, Ownership, Securities regulation, Transparency Executive Compensation in the Context of the COVID-19 Pandemic Posted by Julian Hamud, Glass, Lewis & Co., on Thursday,… [read post]
15 May 2018, 12:30 pm
Borland Capital Group Owner Faces Investor Fraud Charges Brent Borland, the owner of Borland Capital Group, LLC, is facing SEC charges accusing him of misappropriating nearly $6M in investor money that was supposed to go toward building an international airport in Belize. [read post]
7 Mar 2016, 9:44 am
Since March 2015, Benavidez has been associated with International Assets Advisory, LLC out of the firm’s Orlando, Florida office location. [read post]
21 Dec 2017, 6:00 am
IA-4418 (June 10, 2016)(notice) and IA-4444 (July 6, 2016) ( order); Brown Advisory LLC, Investment Advisers Act Release Nos. [read post]
15 Jun 2022, 3:03 am
Matt formerly co-developed Ernst & Young’s information governance solutions, and later was VP, Global Information Governance Advisory Services Leader at Consilio LLC. [read post]
