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17 May 2024, 6:30 am
Posted by Joel Paula, FCLTGlobal, on Monday, May 13, 2024 Tags: AI, Artificial intelligence, ESG, Glass Lewis, ISS The 2024 Audit Committee agenda and the questions investors should be asking Posted by Sophie Gauthier-Beaudoin and Tim Copnell, KPMG, on Tuesday, May 14, 2024 Tags: Audit committee, Audits, Cybersecurity, ESG, ESG disclosures, Financial reporting, Generative AI, Governance reform, investors The Distinction Between Direct and Derivative Shareholder Claims… [read post]
17 May 2024, 6:30 am
Posted by Joel Paula, FCLTGlobal, on Monday, May 13, 2024 Tags: AI, Artificial intelligence, ESG, Glass Lewis, ISS The 2024 Audit Committee agenda and the questions investors should be asking Posted by Sophie Gauthier-Beaudoin and Tim Copnell, KPMG, on Tuesday, May 14, 2024 Tags: Audit committee, Audits, Cybersecurity, ESG, ESG disclosures, Financial reporting, Generative AI, Governance reform, investors The Distinction Between Direct and Derivative Shareholder Claims… [read post]
13 May 2024, 6:41 am
It found that language stating that the second advisor “may provide” services to Nordic and its co-investors was misleading given that the advisor was in fact providing such services, creating a concurrent conflict. [read post]
9 May 2024, 3:08 pm
Delphia is primarily in the business of offering robo-advisory services to retail investors. [read post]
8 May 2024, 7:20 pm
Inc. to pay nearly $14 million to victims of an alleged Ponzi scheme led by a former Oppenheimer broker, targeting 400 elderly investors. [read post]
8 May 2024, 2:26 pm
The behavioral economics field gives us principles that suggest the loss of social security benefits will yield strong emotional and/or litigious responses, with the potential for carry-over into the private pension sphere.[7] To summarize why this is likely to occur: (1) individuals—using the status quo as their reference point—tend to view change as either a gain or a loss from the status quo; (2) “[s]ince losses loom larger [people feel them more… [read post]
7 May 2024, 7:35 am
(formerly Royal Alliance Associates), SagePoint Financial, Inc., and Woodbury Financial Services, failed to obtain verification by an independent public accountant of client funds and securities they had custody of due to agreements with a clearing firm. [read post]
2 May 2024, 12:35 pm
He was affiliated with firms like RBC Capital Markets, UBS Financial Services Inc., and Citigroup Global Markets Inc. [read post]
1 May 2024, 1:18 pm
Department of Health and Human Services, Office of Inspector General, regarding the illegality of [similar] swapping schemes under the AKS. [read post]
1 May 2024, 12:08 pm
One of Tesla’s highest-ranking female executives, she spoke at the company’s Investor Day in March 2023. [read post]
29 Apr 2024, 1:40 pm
FINRA BrokerCheck Report – Andrew Egber According to this FINRA BrokerCheck report, Andrew Egber was affiliated with the following fir ms during his career, among others: 05/27/2022 – 04/18/2024, STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC (CRD#:1254), BETHESDA, MD, B, 01/12/2018 – 05/27/2022, RAYMOND JAMES FINANCIAL SERVICES, INC. [read post]
28 Apr 2024, 8:35 am
In January 2024, a Singaporean investor filed a report with the U.S. [read post]
25 Apr 2024, 12:48 pm
Consultancy, Inc.; Joseph P. [read post]
22 Apr 2024, 1:15 pm
LPL Financial LLC Wells Fargo Clearing Services, LLC Chun Elmejjad Equitable Advisors, LLC AXA Advisors, LLC Jonathan Gervaise Jackson National Life Distributors LLC Pruco Securities, LLC Jonathan Long Cambridge Investment Research, Inc. [read post]
22 Apr 2024, 12:35 pm
Mitchell Roby Wells Fargo Clearing Services, LLC Raymond James Financial Services, Inc. [read post]
22 Apr 2024, 4:28 am
Schwartzman, Inc. v Pliskin, Rubano, Baum & Vitulli, 215 AD3d 699, 702). [read post]
20 Apr 2024, 9:10 am
District Court judge on Friday sentenced a former Silicon Valley tech entrepreneur to serve 1½ years in federal prison for duping investors into backing a software-as-a-service company he founded, according to authorities. [read post]
19 Apr 2024, 2:04 pm
RBC Dain Rauscher Inc. [read post]
19 Apr 2024, 1:43 pm
., Inc. [read post]
19 Apr 2024, 1:34 pm
Key Investment Services LLC Shaquane Smith-Thompson J.P. [read post]
