Search for: "Jefferies, LLC"
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14 Aug 2023, 4:34 am
Background Ted Rosenthal and Jeffery Erber founded 87th Street Optical Corporation (the “Corporation”) in 1995. [read post]
20 Jun 2023, 7:42 am
.'” “McDermott Sued By Recruited Atty Over Client Conflicts, Pay” — “Entertainment litigator Jeffery McFarland sued McDermott Will & Emery LLP and recruiter Watanabe LLC in California state court Tuesday for allegedly failing to disclose conflicts the firm had with his book of clients when it hired him in 2020, and for allegedly cutting his compensation arrangement from $3.25 million to $1 million. [read post]
28 Nov 2022, 9:02 am
LLC Jefferies LLC Morgan Stanley & Co. [read post]
21 Nov 2022, 9:02 am
LLC Jefferies LLC Morgan Stanley & Co. [read post]
28 Sep 2022, 12:37 pm
The following two firms have agreed to pay penalties of $50 million each: Jefferies LLC; and Nomura Securities International, Inc. [read post]
21 Sep 2022, 12:37 pm
Inc. and separately announced settlements with BNY Mellon Capital Markets LLC, TD Securities (USA) LLC, and Jefferies LLC, charging each of the four firms with failing to comply with municipal bond offering disclosure requirements. [read post]
19 Sep 2022, 7:44 am
From May 2015 until January 2022 Rivero was associated with Jefferies LLC. [read post]
16 Sep 2022, 6:30 am
., Pay for performance, Proxy advisors, Say on pay, Shareholder voting SEC Releases Final Rules Regarding Pay-Versus-Performance (PVP) Disclosures Posted by Ira Kay and Mike Kesner, Pay Governance LLC, on Tuesday, September 13, 2022 Tags: Compensation disclosure, Dodd-Frank Act, Equity-based compensation, Executive Compensation, Incentives, Pay for performance, SEC, SEC rulemaking, Securities regulation, TSR Enhanced ESG Disclosures for Investment Funds and Advisers: A Comment from… [read post]
14 Sep 2022, 11:59 am
Each of TD, BNY Mellon, and Jefferies agreed to settle with the SEC, but Oppenheimer is litigating the matter in the Southern District of New York (In the Matter of TD Securities (USA) LLC, Release No. 34-95751, September 13, 2022; In the Matter of BNY Mellon Capital Markets, LLC, Release No. 34-95750, September 13, 2022; In the Matter of Jefferies LLC, Release No. 34-95749, September 13, 2022; SEC v. [read post]
13 Sep 2022, 5:35 am
Inc. and separately announced settlements with BNY Mellon Capital Markets LLC, TD Securities (USA) LLC, and Jefferies LLC, charging each of the four firms…Read the Full Press ReleaseHave a securities law question? [read post]
8 Nov 2021, 1:17 pm
Robert Wong Jefferies LLC Scott-Macon Securities, Inc. [read post]
21 Jul 2021, 12:49 pm
Citigroup Global Markets, Inc. and Jefferies LLC are also acting as book-running managers for the offering, and Canaccord Genuity LLC, Cowen and Company, LLC, Needham & Company LLC, Stifel, Nicolaus & Company, Incorporated and Loop Capital Markets LLC are acting as co-managers for the offering. [read post]
21 May 2021, 8:42 am
Gould an Attorney at Romanucci & Blandin, LLC. [read post]
21 May 2021, 8:42 am
Gould an Attorney at Romanucci & Blandin, LLC. [read post]
7 May 2021, 6:36 am
The two principles are Kent Phelps, an Arizona lawyer since 1996, and Jeffery B. [read post]
20 Apr 2021, 8:51 am
Jefferies LLC represented Consilio and William Blair represented XDD as their respective exclusive financial advisors. [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]
30 Oct 2020, 6:01 am
Greene, Fortuna Advisors LLC, and Sharath Sharma, EY, on Sunday, October 25, 2020 Tags: Boards of Directors, Engagement, Executive Compensation, Firm performance, Innovation, Management, Mergers & acquisitions, Shareholder activism, Stakeholders Shareholder Value and Social Responsibility Are Not At Odds Posted by The Honorable Mary K. [read post]
24 Aug 2020, 6:00 am
A HomeFed director originally proposed the 2:1 share exchange to Jefferies in September 2017, and Jefferies subsequently discussed the share exchange with HomeFed’s second largest shareholder Beck, Mack and Oliver, LLC (“BMO”). [read post]
19 Jul 2020, 9:17 am
In addition, the complaint says Bienvenue served in a variety of executive roles for Jefferies from January 1996 until April 2011, and has served on the HomeFed Board since 1998, and Borden was a Jefferies Vice President from August 1988 to October 2000 and served as HomeFed’s President for 20 years, he noted. [read post]
