Jeffrey B Levering

US Patent:

8396785, Mar 12, 2013

Filed:

Jun 27, 2011

Appl. No.:

13/169692

Inventors:

Jeffrey B. Levering - Harvard MA, US
Alex Magary - Andover MA, US
Craig LeClair - Lexington MA, US
Larry Kunz - Wayland MA, US
Anil Gupta - Chelmsford MA, US
Brigitte Tuller - Chester NH, US
Garett Wiley - Marblehead MA, US
Patricia Rosch - Caledon, CA

Assignee:

Broadridge Content Solutions, Inc. - Jersey City NJ

International Classification:

G06Q 20/10

US Classification:

705 37, 705 35

Abstract:

A method and system to create personalized investor information packages, based on investor information, to be delivered to the investor to satisfy both compliance regulations and investor preferences. The method and system may deliver information in a paper or electronic format.

US Patent:

8521632, Aug 27, 2013

Filed:

Jul 24, 2009

Appl. No.:

12/508987

Inventors:

Russell E. Planitzer - New York NY, US
Mark Asdoorian - Lynn MA, US
David Brown - Sudbury MA, US
Ying Chen - Fitchburg MA, US
Leonard Driscoll - Andover MA, US
Jeffrey B. Levering - Harvard MA, US
Alex Magary - Andover MA, US

Assignee:

Broadridge Content Solutions, Inc. - Jersey City NJ

International Classification:

G06Q 40/00

US Classification:

705 36R, 705 51, 705344, 705904, 705908

Abstract:

Embodiments of the invention provide techniques for improving clarity of disclosure materials provided to investors, by enabling securities issuers, intermediaries and/or other entities to create and disseminate clear and concise summary-level information on individual securities to investors to enable informed investment decisions. The information may include a summary version of the full statutory prospectus (a “summary prospectus”). A summary prospectus may include a concise, “plain English” synopsis and/or representation of certain information contained in the full statutory prospectus, such as a security's investment objectives and strategies, costs, risks and/or other information.

US Patent:

20050102313, May 12, 2005

Filed:

Apr 8, 2004

Appl. No.:

10/821121

Inventors:

Jeffrey Levering - Harvard MA, US
Sunil Garre - North Chelmsford MA, US
Manish Vaish - Rohini, IN

Assignee:

NewRiver, Inc. - Andover MA

International Classification:

G06F017/00

US Classification:

707102000

Abstract:

Computer-implemented methods and apparatus are provided for recording an indication of a source location at which a data element is stored. One method includes executing a set of programmed instructions to identify the source location comprising a portion of a data structure containing source information, wherein the portion contains the data element; and storing an indication of the source location in electronic file storage. The method may be semi-autimated, such that the programmed instructions preliminarily identify the data element, and a user is prompted to confirm that the identification is accurate. Using the indication of the source location, the data element may be retrieved and/or replicated from the source location to any of multiple output destinations.

US Patent:

20050125316, Jun 9, 2005

Filed:

Jun 25, 2004

Appl. No.:

10/877904

Inventors:

Jeffrey Levering - Harvard MA, US
Alex Magary - Andover MA, US
Craig LeClair - Lexington MA, US
Larry Kunz - Wayland MA, US
Anil Gupta - Chelmsford MA, US
Brigitte Tuller - Chester NH, US
Garett Wiley - Marblehead MA, US

International Classification:

G06F017/60

US Classification:

705030000

Abstract:

A method and system to create personalized investor information packages, based on investor information, to be delivered to the investor to satisfy both compliance regulations and investor preferences. The method and system may deliver information in a paper or electronic format.

US Patent:

20080195516, Aug 14, 2008

Filed:

Jan 28, 2008

Appl. No.:

12/011588

Inventors:

Jeffrey B. Levering - Harvard MA, US
Alex Magary - Andover MA, US
Craig LeClair - Lexington MA, US
Larry Kunz - Wayland MA, US
Anil Gupta - Chelmsford MA, US
Brigitte Tuller - Chester NH, US
Garett Wiley - Marblehead MA, US

International Classification:

G06Q 40/00

US Classification:

705 35

Abstract:

A method and system to create personalized investor information packages, based on investor information, to be delivered to the investor to satisfy both compliance regulations and investor preferences. The method and system may deliver information in a paper or electronic format.

US Patent:

20090125449, May 14, 2009

Filed:

Apr 24, 2008

Appl. No.:

12/148983

Inventors:

Jeffrey B. Levering - Harvard MA, US
Jonas Burton - Melrose MA, US
Stephen Powell - Westford MA, US

Assignee:

NewRiver, Inc. - Andover MA

International Classification:

G06Q 40/00

US Classification:

705 36 R

Abstract:

Techniques and systems are disclosed for determining the suitability of one or more investment products for an investor. One embodiment provides a method which includes receiving (e.g., via a graphical user interface, or GUI) information defining one or more characteristics of the investor, receiving (e.g., retrieving from an electronic file storage) information defining, for each of the investment products, at least one policy which pertains to investors in the product in a manner based at least in part on the characteristic(s) of the investor, processing the information to determine whether and/or how one or more policies apply to the investor, and presenting to a user (e.g., via the GUI) an indication of whether and/or how the policy(ies) apply(ies) to the investor, thus enabling the user to evaluate the suitability of the investment product(s) for the investor.

US Patent:

20110060697, Mar 10, 2011

Filed:

Sep 2, 2010

Appl. No.:

12/875002

Inventors:

Jeffrey B. Levering - Harvard MA, US
Alex Magary - Andover MA, US
Craig LeClair - Lexington MA, US
Larry Kunz - Wayland MA, US
Anil Gupta - Chelmsford MA, US
Brigitte Tuller - Chester NH, US
Garett Wiley - Marblehead MA, US
Patricia Rosch - Caledon, CA

International Classification:

G06Q 40/00

US Classification:

705 36 R

Abstract:

A method and system to create personalized investor information packages, based on investor information, to be delivered to the investor to satisfy both compliance regulations and investor preferences. The method and system may deliver information in a paper or electronic format.

US Patent:

20130297533, Nov 7, 2013

Filed:

Jul 1, 2013

Appl. No.:

13/932714

Inventors:

Mark Asdoorian - Lynn MA, US
David Brown - Sudbury MA, US
Ying Chen - Fitchburg MA, US
Leonard Driscoll - Andover MA, US
Jeffrey B. Levering - Harvard MA, US
Alex Magary - Andover MA, US

International Classification:

G06Q 40/06

US Classification:

705 36 R

Abstract:

Embodiments of the invention provide techniques for improving clarity of disclosure materials provided to investors, by enabling securities issuers, intermediaries and/or other entities to create and disseminate clear and concise summary-level information on individual securities to investors to enable informed investment decisions. The information may include a summary version of the full statutory prospectus (a “summary prospectus”). A summary prospectus may include a concise, “plain English” synopsis and/or representation of certain information contained in the hill statutory prospectus, such as a security's investment objectives and strategies, costs, risks and/or other information.