Financial Industry Regulatory Authority April 6, 2010 Harry P Susman, Esq. y LLP Houston, TX 77002 Subject: FINRA Dispute Resolution Arbitraton Number 09-00979 Financial Trust Company, Inc. and The C.O.U.Q. Foundation, Inc. v. Warren Spector Dear…
HUBUS133 Alpha Group Capital Legislative and Regulatory Scrutiny ofAppraisal Proceedings Given its dependence on litigation (whether resulting in favorable settlements or court determinations), the Strategy has attracted more regulatory scrutiny and/or adverse publicity …
SOF III - 1081 Southern Financial LLC REGULATORY AND TAX CONSIDERATIONS Securities Laws Securities Act of 1933. The Interests are not registered under the Securities Act or any other securities laws, and the Feeder Funds do not intend to register the…
RIN II •094 Alpha Group Capital LLC Legislative and Regulatory Changes; Bank Holding Company Act Proposed regulations by the SEC, if enacted, would significantly alter the manner in which asset-backed securities. including securities similar to the Securities, are issued…
1 July 2014 Early Morning Reid: Macro Strategy Regulatory Disclosures 1. Important Additional Conflict Disclosures Aside from within this report, important conflict disclosures can also be found at https://gm.db.com/equities under the "Disclosures Lookup" and "Legal" tabs…
1 July 2014 Early Morning Reid: Macro Strategy Regulatory Disclosures 1. Important Additional Conflict Disclosures Aside from within this report, important conflict disclosures can also be found at https://gm.db.com/equities under the "Disclosures Lookup" and "Legal" tabs…
The UK small/mid cap broking market and the PG opportunity • Regulatory and market pressures have undermined the 'traditional' UK broking model where 'recurring' income (commissions, normal trading profits and corporate retainers) broadly covered fixed costs. • So much is self…
28 February 2013 Exchange Rate Perspectives Deutsche Bank Regulatory Disclosures 1. Important Additional Conflict Disclosures Aside from within this report, important conflict disclosures can also be found at https://gm.db.com/equities under the Disclos…
HUBUS133 Alpha Group Capital to increased governmental and self-regulatory scrutiny of the "hedge fund" industry in general. It is impossible to predict what, if any, future changes in regulation applicable to the Partnership, the Underlying Funds, the General Partner…
9 January 2014 EX Blueprint Thin end of the wedge Regulatory Disclosures 1. Important Additional Conflict Disclosures Aside from within this report, important conflict disclosures can also be found at https://gm.db.com/equities under the "Disclosures Lookup" and…
DRP Pages CRIMINAL DISCLOSURE REPORTING PAGE (ADV) No Information Filed REGULATORY ACTION DISCLOSURE REPORTING PAGE (ADV) No Information Filed CIVIL JUDICIAL ACTION DISCLOSURE REPORTING PAGE (ADV) No Information Filed Part 2 Exemption from brochure delivery requirements for SEC-registered advisers…
TABLE OF CONTENTS CORPORATE RECORDS Page 2 PUBLICATIONS Pages 3-17 REGULATORY SANCTIONS Page 18 OFAC/CONTROL LIST SEARCH Pages 19-23 EFTA01482131 CORPORATE RECORDS Entity Details THIS IS NOT A STATEMENT OF GOOD STANDING HYPERLINK "https://sos-res…
THE DODD-FRANK WALL STREET REFORM AND CONSUMER PROTECTION ACT How the regulatory environment for derivatives is changing J.P.Morgan EFTA01071011 …
7 March 2014 Special Repoli: Russia: macro implications of increased geopolitical risk Regulatory Disclosures 1. Important Additional Conflict Disclosures Aside from within this report, important conflict disclosures can also be found at https://gm.db.com/equities under the "Disclosures…
GLOUS143 Henry Nicholas Furthermom, in response to increased regulatory concerns with respect to the sources of funds used in investments and other activities, the Glendower GP may request the Access Fund in its capacity as limited partner to provide additional…
GLDUS128 Patrick Gerschel Furthermom, in response to increased regulatory concerns with respect to the sources of funds used in investments and other activities, the Glendower GP may request the Access Fund in its capacity as limited partner to provide additional…
30 July 2013 Exchange Rate Perspectives: FX and the Financial Transaction Tax Regulatory Disclosures 1. Important Additional Conflict Disclosures Aside from within this report, important conflict disclosures can also be found at https://gm.db.com/equities under the "Disclosures…
cingular Page: Billing Cycle Date: 34 of 14 …
GLDUS113 Cliff Meg Furthermom, in response to increased regulatory concerns with respect to the sources of funds used in investments and other activities, the Glendower GP may request the Access Fund in its capacity as limited partner to provide additional…
GLDUS132 EverWatch Financial Furthermom, in response to increased regulatory concerns with respect to the sources of funds used in investments and other activities, the Glendower GP may request the Access Fund in its capacity as limited partner to provide additional…
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