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16 Mar 2018, 9:15 am
The SEC’s Order also alleges that Zoernack provided Morningstar with untrue information to obtain a five-star rating, Morningstar’s most prestigious rating, for one of the funds EquityStar managed. [read post]
8 Jul 2015, 1:33 pm
From the Desk of Jim Eccleston at Eccleston Law LLC: In an analysis, Morningstar data showed investors in bond funds underperformed the “unconstrained” managers of investments and traditional fixed-income funds within the last decade. [read post]
2 Aug 2019, 6:33 am
Posted by Jasmin Sethi, Sethi Clarity Advisers LLC, on Friday, August 2, 2019 Editor's Note: Jasmin Sethi is the CEO of Sethi Clarity Advisers LLC. [read post]
6 Aug 2015, 7:37 am
From the Desk of Jim Eccleston at Eccleston Law LLC: Morningstar has released their list of the Top 20 multi-alternative funds. [read post]
8 Jan 2016, 6:52 am
The Franklin Fund’s woes follows several others in the high yield space that our firm is tracking including the Third Avenue Focused Credit Fund, Stone Lion Capital Partners, and Claren Road Asset Management LLC. [read post]
11 Mar 2016, 6:00 am
The Securities and Exchange Commission (“SEC”) recently brought an administrative proceeding against unregistered fund manager Steven Zoernack and his firm, EquityStar Capital Management, LLC (“EquityStar”), for engaging in allegedly fraudulent conduct in violation of federal securities and investment adviser laws. [read post]
14 Mar 2016, 6:18 am
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
27 Apr 2009, 6:45 am
According to Morningstar, Inc. of Chicago, the funds lost 29% last year compared with a 7.9% average decline for bond mutual funds overall. [read post]
14 Jun 2019, 11:17 am
In reality, these structured investments are just ways for the industry to increase revenues generated from the creation, sale, and management of these products. [read post]
19 Jun 2019, 11:17 am
In reality, these structured investments are just ways for the industry to increase revenues generated from the creation, sale, and management of these products. [read post]
28 Feb 2022, 8:21 am
appeared first on Zamansky LLC. [read post]
20 Sep 2021, 12:35 pm
To speak with an investment fraud attorney at Zamansky LLC in confidence, call 212-742-1414 or send us a message online now. [read post]
28 Aug 2015, 10:44 am
Aggregate bond index, according to fund-research firm Morningstar Inc. [read post]
25 Nov 2020, 3:00 pm
Cartica Management LLC (“Cartica”) is a Washington D.C. [read post]
6 Oct 2023, 6:30 am
Eddy, Wachtell Lipton Rosen & Katz, on Saturday, September 30, 2023 Tags: Board of Directors, Fiduciary duties, Risk management, SEC California’s Proposed Bills Require Reporting on Climate Emissions and Risks Posted by David A. [read post]
6 Oct 2023, 6:30 am
Eddy, Wachtell Lipton Rosen & Katz, on Saturday, September 30, 2023 Tags: Board of Directors, Fiduciary duties, Risk management, SEC California’s Proposed Bills Require Reporting on Climate Emissions and Risks Posted by David A. [read post]
3 Feb 2016, 9:42 am
These MainStay Cushing funds were said to have been marketed to investors and sold by financial advisors at brokerages such as Cetera Advisors LLC, Mid Atlantic Capital Corp., JPMorgan, Ameriprise Brokerage, Raymond James, RBC Wealth Management, Morgan Stanley, and Securities America Inc. [read post]
12 Apr 2008, 8:45 am
As of March 28, Legg Mason managed a total of $176 billion in money funds. [read post]
30 Jan 2019, 8:00 am
More than $11 billion has flowed into sixty-four bank loan mutual funds so far this year, according to data from Morningstar, which observed that total assets in the funds now top $144 billion. [read post]
21 Oct 2022, 6:30 am
Tuttle, Debevoise & Plimpton LLP, on Monday, October 17, 2022 Tags: Disclosure, Insider trading, Pay for performance, SEC, Securities Act, Securities fraud, Securities litigation ESG Reporting: Asset Managers Express Divergent View Posted by Lindsey Stewart, Morningstar, Inc., on Monday, October 17, 2022 Tags: advisory board, Board of Directors, ESG, Liability standards, regulatory requirements, Sustainability The Valuation Treadmill: How Securities Fraud Threatens the… [read post]
