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2 Jun 2023, 6:30 am
Holland, Simpson Thacher and Bartlett LLP, on Saturday, May 27, 2023 Tags: anti-ESG, Financial institutions, Institutional Investors, legislation, Monetary policy, State regulation Significant Amendments to Private Fund Adviser Reporting on Form PF Posted by Diane Blizzard and Radhika Kshatriya, Kirkland & Ellis LLP, on Sunday, May 28, 2023 Tags: Disclosure, Form PF, Investment advisers, Private equity, Private funds, SEC enforcement The Imperfect CEO Posted by Justus… [read post]
25 Aug 2023, 6:30 am
Unveiling the Business Risk: Why Board and Executive Engagement in DE&I Matters Posted by Anna Natapova (Semler Brossy LLC), Cynthia Soledad (Egon Zehnder), and Chuck Gray (Egon Zehnder), on Friday, August 18, 2023 Tags: Board of Directors, corporate engagement, dei, Executive Compensation, Risk management, strategy Pressure on DEI Initiatives Continues to Mount Posted by Martin Lipton, Wachtell Lipton Rosen & Katz, on Saturday, August 19, 2023 Tags: dei, Diversity, U.S. [read post]
25 Aug 2023, 6:30 am
Unveiling the Business Risk: Why Board and Executive Engagement in DE&I Matters Posted by Anna Natapova (Semler Brossy LLC), Cynthia Soledad (Egon Zehnder), and Chuck Gray (Egon Zehnder), on Friday, August 18, 2023 Tags: Board of Directors, corporate engagement, dei, Executive Compensation, Risk management, strategy Pressure on DEI Initiatives Continues to Mount Posted by Martin Lipton, Wachtell Lipton Rosen & Katz, on Saturday, August 19, 2023 Tags: dei, Diversity, U.S. [read post]
25 Apr 2014, 2:03 pm
According to Max Virgil Mawhirter’s FINRA BrokerCheck Report, he worked with CCF Investments from 01/2008 – 04/2013 and PFS Investments with 11/1986 – 01/2008. [read post]
16 Dec 2009, 5:18 am
Gray, former financial adviser for AXA Advisors LLC. [read post]
14 May 2018, 1:51 pm
Supreme Court decides these issues of critical important to ESA jurisprudence, namely how to interpret the critical habitat provisions of the ESA and how much deference to give to the Service’s interpretation of those provisions. [1] Markle Interests, LLC, P&F Lumber Company 2000, LLC, and PF Monroe Properties, LLC, were plaintiffs-appellants below, but in the U.S. [read post]
8 Mar 2021, 12:37 pm
PFS Investments Inc. [read post]
14 Apr 2023, 11:30 am
Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Kenneth Wade Cetera Advisor Networks LLC PFS Investments Inc. [read post]
1 May 2013, 7:00 am
Lobbyist registration International blue sky law analysis Review of secondary transfers Form PF Internal marketing of compliance Tracking regulatory changes EU’s AIFMD FCPA Is there personal liability for CCOs? [read post]
1 May 2013, 7:00 am
Lobbyist registration International blue sky law analysis Review of secondary transfers Form PF Internal marketing of compliance Tracking regulatory changes EU’s AIFMD FCPA Is there personal liability for CCOs? [read post]
29 Apr 2013, 10:51 am
Lobbyist registration International blue sky law analysis Review of secondary transfers Form PF Internal marketing of compliance Tracking regulatory changes EU’s AIFMD FCPA Is there personal liability for CCOs? [read post]
22 Sep 2021, 7:58 am
Morgan Securities LLC Christy McWilliams Jackson National Life Distributors LLC Kevin Nevin Demsey Lord Smith, LLC Sandlapper Securities, LLC Antoine Rogers J.P. [read post]
25 Oct 2023, 8:05 am
Daniel Santos PFS Investments Inc. [read post]
12 Aug 2022, 6:51 am
Securities and Exchange Commission, on Thursday, August 11, 2022 Tags: CFTC, Disclosure, Form PF, Hedge funds, Institutional Investors, Private equity, Private funds, SEC, SEC rulemaking, Securities regulation Statement by Chair Gensler on Proposed Joint Amendments to Form PF Posted by Gary Gensler, U.S. [read post]
12 Aug 2022, 6:51 am
Securities and Exchange Commission, on Thursday, August 11, 2022 Tags: CFTC, Disclosure, Form PF, Hedge funds, Institutional Investors, Private equity, Private funds, SEC, SEC rulemaking, Securities regulation Statement by Chair Gensler on Proposed Joint Amendments to Form PF Posted by Gary Gensler, U.S. [read post]
28 May 2021, 6:56 am
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS Ryan Callahan State Farm VP Management Corp James Carpenter II LPL Financial LLC Edward Jones James Childress LPL Financial LLC Householder Group Financial Advisors, LLC Justyn Euan Wells Fargo Clearing Services, LLC … [read post]
4 Oct 2010, 3:16 am
., Opposition No. 91177965 [Section 2(d) opposition to FINISHPRO for paint sprayers in view of the registered mark FINISH PRO for paint and paint-related products for automobile, marine, and industrial use].October 21, 2010 - 2 PM: Nestle Prepared Foods Company v.V&V Enterprises Incorporated , Opposition No. 91167465 [Opposition to registration of PF POCKET FOODS CORPORATION & Design for pocket sandwiches [POCKET FOODS CORPORATION disclaimed], on the grounds of abandonment and… [read post]
5 Sep 2013, 5:58 am
Kmetz was a registered representative at PFS Investments, Inc. from July 16, 2001 to March, 13, 2003. [read post]
26 Nov 2019, 7:02 am
AXA Advisors LLC The Equitable Lie Assurance Society of the United States Su, Zachary JP Morgan Securities World Financial Group Uwechue, Anthony JP Morgan Securities Chase Investment Serivces Wright, Tiana Northwestern Mutual Investment Services Silver Law Group represents investors in securities and investment fraud cases through FINRA arbitration or court. [read post]
1 Dec 2022, 7:52 am
Morgan Securities LLC Yasmine Mercado Cory Tinsley Farmers Financial Solutions, LLC AXA Advisors, LLC Khalil Watts J.P. [read post]
