Search for: "Neuberger Berman LLC"
Results 1 - 20
of 27
Sorted by Relevance
|
Sort by Date
2 Dec 2011, 2:05 pm
The targets are former traders at hedge funds Diamondback Capital management LLC and Level Global Investors LP, and an analyst at mutual fund company Neuberger Berman Group LLC. [read post]
20 Jan 2012, 12:27 pm
They recently announced the filing of criminal charges against seven more individuals, including hedge fund executives and portfolio managers, as well as guilty pleas by three cooperating defendants of Level Global Investors LP and mutual fund company Neuberger Berman Group LLC. [read post]
6 Aug 2015, 7:37 am
The Neuberger Berman Absolute Return Multi-Manager Fund, for example, has lost over $59M year-to-date.The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. [read post]
10 Feb 2023, 7:04 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, February 10, 2023 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of February 3-9, 2023 Investing in Influence: Investors, Portfolio Firms, and Political Giving Posted by Raymond Fisman (Boston University), on Friday, February 3, 2023 Tags: Corporate governance, Institutional Investors, PAC, Russell 2000, S&P 500, Shareholders Global Corporate Credit ESG… [read post]
10 Feb 2023, 7:04 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, February 10, 2023 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of February 3-9, 2023 Investing in Influence: Investors, Portfolio Firms, and Political Giving Posted by Raymond Fisman (Boston University), on Friday, February 3, 2023 Tags: Corporate governance, Institutional Investors, PAC, Russell 2000, S&P 500, Shareholders Global Corporate Credit ESG… [read post]
4 Aug 2023, 7:16 am
According to FINRA Disciplinary actions for July 2023, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Michael Cutrone Neuberger Berman BD LLC Ronald Diaz Morgan Stanley J.P. [read post]
30 Jan 2018, 6:18 am
Posted by Jonathan Bailey and Jake Walko, Neuberger Berman Group LLC, on Tuesday, January 30, 2018 Editor's Note: Jonathan Bailey is Head of ESG Investing and Jake Walko is Vice President of ESG Investing at Neuberger Berman Group LLC. [read post]
4 Feb 2023, 6:30 am
Posted by Jonathan Bailey, Savannah Irving, Neuberger Berman LLC, on Saturday, February 4, 2023 Editor's Note: Jonathan Bailey is a Managing Director and Head of ESG Investing, and Savannah Irving is an Associate at Neuberger Berman LLC. [read post]
4 Feb 2023, 6:30 am
Posted by Jonathan Bailey, Savannah Irving, Neuberger Berman LLC, on Saturday, February 4, 2023 Editor's Note: Jonathan Bailey is a Managing Director and Head of ESG Investing, and Savannah Irving is an Associate at Neuberger Berman LLC. [read post]
11 Jan 2022, 5:55 am
Posted by Kei Okamura, Neuberger Berman LLC, on Tuesday, January 11, 2022 Editor's Note: Kei Okamura is Director of Japan Investment Stewardship at Neuberger Berman LLC. [read post]
18 Jan 2012, 9:55 am
Also charged, according to a criminal complaint unsealed Wednesday, were Spyridon “Sam” Adondakis, a former Level Global analyst who worked under Chiasson; Jesse Tortora, an ex-Diamondback analyst under Newman; and Sandeep “Sandy” Goyal, of mutual fund company Neuberger Berman Group LLC. [read post]
9 Sep 2014, 6:55 am
Zaki entered the securities industry in October 2007 joining Neuberger Berman LLC. [read post]
16 Jun 2023, 9:54 am
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Michael Cutrone Neuberger Berman BD LLC Ronald Diaz Morgan Stanley J.P. [read post]
10 Nov 2023, 6:30 am
Marlier, Michael Birnbaum, and Nicole Serfoss, Morrison & Foerster LLP, on Thursday, November 9, 2023 Tags: Board of Directors, ESG, MNPI, SEC Issues Facing Compensation Committees in 2024 Posted by Mike Kesner, Steve Pakela, and Lane Ringlee, Pay Governance LLC, on Thursday, November 9, 2023 Tags: Compensation committees, Corporate governance, LTI, SEC [read post]
10 Nov 2023, 6:30 am
Marlier, Michael Birnbaum, and Nicole Serfoss, Morrison & Foerster LLP, on Thursday, November 9, 2023 Tags: Board of Directors, ESG, MNPI, SEC Issues Facing Compensation Committees in 2024 Posted by Mike Kesner, Steve Pakela, and Lane Ringlee, Pay Governance LLC, on Thursday, November 9, 2023 Tags: Compensation committees, Corporate governance, LTI, SEC [read post]
14 May 2021, 6:07 am
King, Skadden, Arps, Slate, Meagher & Flom LLP, on Monday, May 10, 2021 Tags: Accountability, Board oversight, Boards of Directors, ESG, Institutional Investors, Oversight, Transparency The Effects of Mandatory ESG Disclosure around the World Posted by Zacharias Sautner (Frankfurt School of Finance & Management), on Monday, May 10, 2021 Tags: Disclosure, Environmental disclosure, ESG, Information… [read post]
2 Mar 2016, 12:00 pm
Securities and Exchange Commission (“SEC” or the “Commission”) ruled that Former Neuberger Berman Analyst Sandeep “Sandy” Goyal, whom the SEC previously barred from the securities industry after he pled guilty to insider trading, could participate in the industry again. [read post]
17 Sep 2008, 3:31 pm
According to the DIP financing motion, Barclays is offering to lend up to $450 million on a senior secured basis, collateralized by a first priority lien on Lehman's equity interests in Neuberger Berman Holdings LLC. [read post]
2 Feb 2018, 6:10 am
Rosenblum, and Victor Goldfeld, Wachtell, Lipton, Rosen & Katz, on Monday, January 29, 2018 Tags: Antitrust, Appraisal rights, Banks, China, Cross-border transactions, Financial institutions, International governance, Merger litigation, Mergers & acquisitions, Private equity, Shareholder activism, Tax Cuts and Jobs Act, Taxation, Tech companies Preparing a Successful IPO in 2018 Posted by Philip Oettinger and… [read post]
14 Jan 2022, 5:57 am
Policy Updates Posted by Rajeev Kumar, Georgeson, on Monday, January 10, 2022 Tags: Board composition, Climate change, Diversity, ESG, Executive Compensation, Institutional Investors, Proxy advisors, Say on climate, Shareholder voting, Sustainability Japan’s Coming Wave of Reform Posted by Kei Okamura, Neuberger Berman LLC, on Tuesday, January 11, 2022 Tags: Accounting standards, Climate… [read post]
