Search for: "SECURITIES CORP."
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18 Feb 2011, 5:18 am
Earlier this month, another broker/dealer, Workman Securities Corp., also was in the news over private-placement sales involving Provident Royalties and Medical Capital Holdings. [read post]
20 Feb 2013, 11:00 am
See In re GLG Life Tech Corp. [read post]
23 Sep 2019, 12:47 pm
If you are concerned about investments you made with Sigma Planning Corp. the securities attorneys at The White Law Group may be able to help. [read post]
1 Jul 2009, 11:33 am
The Securities and Exchange Commission is considering whether to file civil charges against State Street Corp. over possible securities violations related to subprime mortgages. [read post]
29 Jan 2021, 6:48 am
Premier Holding Corp. and Its CEO Ordered to Pay More Than $10 Million for Securities Fraud (SEC Release)SEC Charges Former Executives of San Francisco Bay Area Company With Accounting Violations (SEC Release)FINRA Needs Some Fresh Air For A 20 Month Suspension (BrokeAndBroker.com Blog)Premier Holding Corp. and Its CEO Ordered to Pay More Than $10 Million for Securities Fraud (SEC Release)https://www.sec.gov/litigation/litreleases/2021/lr25021.htm? [read post]
23 Nov 2010, 7:08 am
Duke has revealed some of internal information with the Securities and Exchange Commission. [read post]
24 Jan 2012, 3:32 pm
Securities and Exchange Commission in December sued the congressionally created non-profit Securities Investor Protection Corporation over the group’s refusal to set up a claims process to help alleged Stanford Group Company victims recover funds. [read post]
15 Nov 2018, 12:51 pm
The post PG&E Corp. shares fall 52% this week appeared first on White Securities Law. [read post]
15 Nov 2018, 12:51 pm
The post PG&E Corp. shares fall 52% this week appeared first on White Securities Law. [read post]
3 Feb 2014, 4:24 am
IPOs: Corp Fin Seeks More Succinct Stock Valuation Disclosure Here's news from this blog by Davis Polk's Ning Chiu & Alan Denenberg: At the recent Securities Regulation Institute, Keith Higgins, the head of the SEC Division of Corporation Finance, indicated that the SEC staff will be looking for less detailed disclosure in the S-1 regarding a company's historical practice and grant by grant valuation description for establishing the fair value of the company's common… [read post]
21 Apr 2011, 7:49 pm
District Court for the Northern District of California says that the auction securities lawsuit filed by Anschutz Corp. against Deutsche Bank Securities Inc. and a number of credit rating agencies can proceed. [read post]
16 Apr 2008, 5:52 pm
One advantage to permittees of the mitigation bank option or the in-lieu option is that responsibility to provide compensatory mitigation is transferred to the sponsor when the permittee secures credits.New Timelines for Mitigation Bank ApprovalThe rule provides for formal timeframes that gover [read post]
26 Dec 2019, 5:00 am
Organized Crime by Established National Security Threats The ILLICIT CASH Act and the Corporate Transparency Act Amid the divisive battle over impeachment, a bipartisan group of senators is supporting legislation designed to strengthen the federal government’s anti-money laundering (AML) and countering the financing of terrorism (CFT) enforcement mechanisms. [read post]
15 Jun 2010, 12:45 pm
Now, I think that having an S Corp provision, even though it ended up somewhat complicated because it was drafted as a compromise to focus only on those S Corps where it is clear that the services of a few owner/service providers is the basis of the S Corp business, is a step in the right direction. [read post]
10 Mar 2011, 5:52 pm
New Mexico’s State Investment Council and Public Employees Retirement Association have settled their securities lawsuit with Countrywide Finance Corp. and two underwriters for $162 million. [read post]
9 May 2017, 3:04 pm
Hinman replaces Keith Higgins, the former director of Corp Fin who left in January. [read post]
10 Jan 2014, 7:39 am
Analysis: Corp Fin's New "Section 13(d) Groups" CDI From Skadden's Josh LaGrange & Brian Breheny, here's some analysis of the new Rule 13d-3 CDI that Corp Fin put out last week: The new Compliance & Disclosure Interpretation reverses a widely-held presumption of practitioners concerning Section 13(d) beneficial ownership of issuer equity securities by members of a group, and offers additional insight into the staff's view of the scope of Section 13(d) beneficial… [read post]
10 Apr 2019, 10:30 am
The White House launches a purge at the Homeland Security Department. [read post]
3 Feb 2005, 6:59 am
[JURIST] Leading Thursday's corporations and securities law news, prosecutors have announced that former HealthSouth Corp. [read post]
30 Mar 2005, 12:30 pm
[JURIST] Leading Wednesday's corporations and securities law news, American International Group Inc. [read post]
