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10 Oct 2017, 1:34 pm
The Securities and Exchange Commission today announced that Walter E. [read post]
31 Aug 2020, 4:00 am
From September 1986 to December 2019, Ronald Walter Hannes was registered as an Investment Company and Variable Contracts Products Representative (IR) with Woodbury Financial Services (Woodbury). [read post]
21 Jan 2011, 3:19 am
Walter is certainly a proponent of the SRO model for RIA oversight. [read post]
15 Jan 2023, 10:59 am
Democracy and Sovereignty: Rethinking the Legitimacy of Public International Law addresses urgent new and intrinsically international subject areas, such as digitalization, climate change and transborder investments. [read post]
7 Jun 2010, 7:27 am
Walters Kluwer, 2010. ($358 | Paperback: 978-9041-12846-1 | various pagings). [read post]
7 Sep 2015, 8:00 pm
Walter Investment Management Corp., et al., was settled without a determination of liability on behalf of Walter Investment. [read post]
11 Jul 2019, 1:49 pm
Nossaman attorneys Yuliya Oryol, Peter Mixon and Allan Ickowitz provided feedback and comments on drafts of “Bridging Public Pension Funds and Infrastructure Investing,” a white paper co-authored by Clive Lipshitz and Ingo Walter (NYU Stern School of Business). [read post]
31 May 2014, 7:06 am
We represent investors, financial professionals and investment firms and brokers nationwide. [read post]
13 Sep 2011, 2:55 pm
Commissioner Walter noted that investors have entrusted approximately $43 trillion of assets to federally-registered investment advisers, but the SEC cannot fulfill its mandate to examine those advisers with the agency's existing resources. [read post]
28 Mar 2011, 4:33 am
Centerbridge Partners exits Green Tree Credit Solutions, a loan servicer with a long history, in a deal valued at more than $1 billion. [read post]
20 Jan 2011, 11:24 am
Section 914 of the Dodd-Frank Act mandates that the SEC conduct a study to review and analyze the need for enhanced examination and enforcement resources for investment advisers. [read post]
27 Jul 2010, 10:00 am
The Journal of Taxation of Investments has published its Summer 2010 issue (Vol. 27, No. 4), with these articles: Walter Schwidetzky (Baltimore) & Rolfe Eicke (Ernst & Young), Income Taxation in the United States and Germany: The Rugged Individualist Meets the Social Activist, 27 J. [read post]
30 Sep 2015, 7:09 am
In particular, kudos go to Director Dave Grim, Jennifer McHugh, Bridget Farrell and Jamie Walter. [read post]
14 Aug 2012, 3:00 am
Walter Bau responded that the investment was an “approved investment” because the Thai government had approved it in various ways. [read post]
27 Feb 2012, 7:45 am
WALTER RUSSELL MEAD: Invest, Innovate, Educate. [read post]
28 Mar 2011, 11:20 am
Tampa-based REIT Walter Investment Management Corp. agreed to a deal worth more than $1 billion to acquire Green Tree Credit Solutions. [read post]
24 Mar 2009, 10:46 am
While the SIPA liquidation of the Madoff investment firm proceeds apace, the SEC has been probing all facets of the scheme to secure assets for investors. [read post]
10 Nov 2010, 6:57 am
Section 914 requires analysis of the need for enhanced examination of investment advisers. [read post]
10 Sep 2012, 7:14 am
Cite: Walter C. [read post]
11 Feb 2015, 7:04 am
The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) have brought action (FINRA Here, SEC Here) against Timothy Dembski (Dembski) and Walter Grenda (Grenda) concerning allegations that they made false and misleading statements to their clients at Reliance Financial Group (Reliance) an investment advisory firm, in recommending and selling investments in a risky hedge fund called Prestige Wealth Management Fund, LP (Prestige… [read post]
