Search for: "Walter Investment"
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10 Mar 2010, 9:18 pm
"André Von Walter (Ministry of Foreign and European Affairs, France) will give a talk today at the Vale Columbia Center on Sustainable International Investment International Investment Law and Policy Speaker Series on "The investor's legitimate expectations - inquiries into the legal nature of an increasingly popular concept. [read post]
14 Feb 2013, 1:35 pm
We have not heard much lately from the SEC about a "uniform fiduciary duty" for broker-dealers and investment advisers. [read post]
8 Oct 2015, 6:37 am
Nine of those clients invested a total of $1.27 million in the Facebook SPVs. [read post]
11 Dec 2008, 6:06 am
The consequent lack of a clear audit trail in internet transactions is making it harder for tax officials to discover whether the appropriate laws have been complied with.Also, concern is growing over the rise of consultancy firms that market and promote investment schemes in low tax jurisdictions, a phenonemon that the revenue agency says is also making its life more difficult.It was highlighted at the presentation that a disproportionately high number of Canadians are investing… [read post]
17 Feb 2016, 6:54 am
Dembski and Walter F. [read post]
21 Jan 2011, 2:14 pm
The Commission would have to exercise vigilant oversight to prevent this from occurring.In her statement, Commissioner Walter said that the SRO model should increase the frequency of examinations of investment adviser and thus directly answer the question that Congress posed to the SEC in Dodd-Frank. [read post]
24 Jun 2007, 7:41 am
The following comes from an article in the Scottish newspaper, The Sunday Herald:Public savings agency National Savings and Investments (NS&I) has just produced its quarterly report which seems to suggest that many of us live in some Walter Mitty world, crossing our fingers in the hope that we can deal with any future financial problems we may face by begging, stealing or borrowing. [read post]
6 Jan 2016, 8:48 am
Fenway Partners and Fenway Consulting Partners were both owned and managed in large part by respondents Peter Lamm, William Smart, Timothy Mayhew, and Walter Wiacek. [read post]
25 Jun 2011, 7:36 am
WALTER RUSSELL MEAD: The Failure Of Al Gore: Part One. [read post]
21 Jun 2022, 12:11 pm
Michael Mandel (Michael Walter Mandel, CRD# 4939165) is a currently registered broker and investment advisor last registered with LPL Financial (CRD:#6143) of Upper Saddle River, NJ. [read post]
3 Nov 2015, 2:44 pm
They include Samson Resources, Alpha Natural Resources, Patriot Coal, Walter Energy, and Sabine Oil & gas Investments in the energy industry are often speculative and high risk. [read post]
25 Apr 2012, 10:52 pm
” Testimony before the Subcommittee on Capital Markets and Government Sponsored Enterprises, September 13, 2011 SEC Commissioner Elisse Walter: “We also have precedent, spanning more than seven decades, that SROs can significantly enhance the Commission’s examination and enforcement resources relating to its regulated entities … We need to address this issue now. [read post]
14 Dec 2007, 11:28 am
Aguilar specializes in investment companies, investment advisers, corporate and securities law, and international transactions. [read post]
11 Aug 2017, 8:02 am
Unbeknownst to the investors, most of their money was being used for other purposes,” said Walter Jospin, Director of the SEC’s Atlanta Regional Office. [read post]
27 Oct 2009, 2:14 am
Walter gave a speech entitled “SEC Rulemaking — ‘Advancing The Law’ To Protect Investors. [read post]
5 Mar 2014, 6:32 am
Allen & Tommaso Soave, Jurisdictional Overlap in WTO Dispute Settlement and Investment Arbitration Carlo de Stefano, Arbitration Agreements as Waivers to Sovereign Immunity Gyooho Lee, Keon-Hyung Ahn, & Jacques de Werra, Euro-Korean Perspectives on the Use of Arbitration and ADR Mechanisms for Solving Intellectual Property Disputes Lucas Bastin, Amici Curiae in Investor-State Arbitration – Eight Recent Trends Philippe Cavalieros, In-House Counsel Costs and Other Internal… [read post]
7 Mar 2022, 7:24 am
Le Boeuf,” “Bill LeBeouf,” “William Walter LeBeouf”) is a former broker and investment adviser whose last known employer was Cetera Advisor Networks LLC (CRD#:13572) of Beavercreek, OH. [read post]
20 Mar 2017, 9:04 pm
New Orientations for EU External Economic Relations, Stefan Griller, Walter Obwexer, & Erich Vranes eds., forthcoming). [read post]
11 Dec 2018, 7:45 am
After months of anticipation, the just released draft paper Return on Investment Initiative to Advance the President's Management Agenda: Unleashing American Innovation signals that the Administration is serious about addressing a wide range of long neglected issues undermining effective technology commercialization.The paper, generated under the leadership of Commerce Under Secretary Walter Copan, who heads the National Institute of Standards and Technology (NIST), is… [read post]
6 Aug 2018, 6:30 am
(FINRA Case #2016050492101) Walter Warren Parker (CRD #2131232, Wylie, Texas) – An AWC (Accept, Waiver & Consent) was issued in which Parker was fined $7,500 and suspended from association with any FINRA member in all capacities for one month. [read post]
