Appomattox Advisory Inc. and Oscar Gustavo Gil Vollmer
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D. E. Shaw & Co, L.P.
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SEC Charges D. E. Shaw with Violating Whistleblower Protection Rule
The Securities and Exchange Commission today announced settled charges against New York-based registered investment adviser D. E. Shaw & Co., L.P. for raising impediments to whistleblowing by requiring employees to sign agreements prohibiting the…Read More
Florence Capital Advisors, LLC and Gregory A. Hersch
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William Blair & Company, L.L.C., and William Blair Investment Management, LLC
William Blair & Company, L.L.C., and William Blair Investment Management, LLCRead More
Maxim Group, LLC
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Kroll Bond Rating Agency, LLC
Kroll Bond Rating Agency, LLCRead More
Robert W. Baird & Co. Incorporated
Robert W. Baird & Co. IncorporatedRead More
Nuveen Securities, LLC
Nuveen Securities, LLCRead More
Fifth Third Securities, Inc.
Fifth Third Securities, Inc.Read More
