Search for: "Mutual Management Services LLC"
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31 Jan 2020, 6:30 am
According to the Complaint, Dow and Phytogen have a mutual controlling member, Mycogen LLC, that allows Dow to provide services to Phytogen via a Service Agreement. [read post]
27 Apr 2010, 6:07 am
Smith Barney Fund Management LLC, 595 F.3d 86 (2d Cir. 2010). [read post]
27 Apr 2010, 6:07 am
Smith Barney Fund Management LLC, 595 F.3d 86 (2d Cir. 2010). [read post]
8 Sep 2023, 12:51 pm
The firm reportedly manages $458 billion in assets. [read post]
7 Jul 2023, 1:24 pm
The White Law Group reviews the regulatory history of Wells Fargo Clearing Services, LLC. [read post]
10 Jan 2016, 5:07 pm
Morgan Securities LLC (JPMS), promoted the firm’s own proprietary investment products without making several necessary disclosures.Between 2008 and 2013, the subsidiaries failed to disclose a preference for proprietary mutual funds in its unified account program, an economic incentive created by discounted pricing for services provided by a JPMS affiliate, and the availability of a less expensive share class that would have generated less revenue for a JPMS… [read post]
8 Mar 2024, 11:31 am
Among the firms involved were Northwestern Mutual Investment Services LLC, Guggenheim Securities LLC, Oppenheimer & Co. [read post]
13 Jun 2011, 11:05 am
("JCG") and Janus Capital Management LLC ("JCM"). [read post]
16 Nov 2008, 6:32 pm
As reported by Jennifer Levitz in The Wall Street Journal, Fidelity has 44,400 employees and $1.24 trillion in mutual fund assets under management. [read post]
15 Sep 2008, 12:22 pm
Second, in regard to alleged improper compensation, LLC Law Section 411 gives the managers authority to fix the compensation of managers for services in any capacity and, under Section 402(c)(2), a majority in interest of the members may approve incurring indebtedness other than in the ordinary course of business. [read post]
18 Feb 2022, 10:02 am
No. 34198 (Feb. 22, 2021)) to suspend redemptions of the mutual fund. [read post]
10 Nov 2008, 4:47 pm
As reported by Jennifer Levitz recently in The Wall Street Journal, Fidelity has 44,400 employees and $1.24 trillion in mutual fund assets under management. [read post]
15 Apr 2014, 9:43 am
The firm launched a fee-based, discretionary, unified managed account through which clients could hold, among other investments, mutual funds, ETFs and money market funds. [read post]
4 Dec 2023, 4:58 am
The letter also spelled out certain “initial business set-up services and continuing business support services” to be provided by GF to the proposed LLC, including office space and facilities, insurance, human resource management, accounting, IT, marketing, and legal counsel to assist in “forming the partnership and associated agreements to be filed as a legal business entity. [read post]
30 Jan 2017, 3:34 am
In December 2013, two members acting by written consents and majority vote executed and adopted an operating agreement and filed amended articles of organization designating the LLC as manager-managed. [read post]
11 Apr 2016, 11:28 am
· Fenway Partners LLC and its principals who paid more than $10 million for failing to disclose conflicts of interest relating to consulting services provided by an affiliated entity and payments to former firm employees that were paid for with fund and portfolio company assets. [read post]
8 Sep 2015, 7:07 pm
(RMS), REO Management Solutions LLC and RMS Asset Management Solutions LLC, violated the False Claims Act in connection with their participation in the Department of Housing and Urban Development’s (HUD’s) Home Equity Conversion Mortgages (HECM) program, which insures “reverse” mortgage loans. [read post]
27 Sep 2016, 7:34 am
LPL also plans on cutting prices and easing minimums on some of its internally managed model wealth portfolios in anticipation of the DOL fiduciary rule.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
6 Jan 2016, 9:45 am
The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
11 Mar 2014, 3:39 pm
One of the employees worked for Fidelity Brokerage Services, LLC, a subsidiary of the Respondents, for 14 years. [read post]
