Search for: "CAPITAL ONE FINANCIAL CORP."
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7 Feb 2011, 12:42 pm
Now, it appears QA3 Financial Corp. has become the latest B-D to bite the dust. [read post]
22 Jul 2014, 11:57 pm
The proposed no-fault pact would require Capital One Bank (USA) NA, Capital One NA, Capital One Financial Corp., Capital One Services LLC, Capital One Services II LLC – along with three other defendants-to pay the “largest settlement cash sum-by far-in the 22-year history of the TCPA – $75,455,098.74 – into a settlement fund,” the plaintiffs said in their… [read post]
19 Aug 2014, 10:49 am
DaleCapital One Financial Corp. [read post]
25 Oct 2021, 7:20 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Johnny Guan (Guan), currently employed by Aegis Capital Corp. [read post]
2 Aug 2019, 12:37 pm
Did you invest with Darren Oglesby (Monroe, LA) and/or Money Concepts Capital Corp. and suffer losses in GPB Capital or other private placement transactions? [read post]
3 Aug 2023, 11:22 am
December 2022 – FSC Securities was one of many firms sanctioned for unsuitable sales of GPB Capital offerings. [read post]
20 Mar 2023, 11:59 am
These triggers can be regulatory or financial in nature, such as a decline in a bank’s capital adequacy ratio or a breach of a certain threshold for its financial performance. [read post]
11 Mar 2015, 4:53 pm
” The Federal Reserve did not object to the capital plans of Ally Financial, Inc.; American Express Company; The Bank of New York Mellon Corporation; BB&T Corporation; BBVA Compass Bancshares, Inc.; BMO Financial Corp.; Capital One Financial Corporation; Citigroup, Inc.; Citizens Financial Group; Comerica Incorporated; Discover Financial Services; Fifth Third Bancorp; Goldman Sachs Group, Inc.; HSBC North… [read post]
15 Feb 2021, 7:31 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that financial advisor Thomas Duggan (Duggan), currently employed by Aegis Capital Corp. [read post]
12 Jan 2012, 1:00 am
Bain Capital, co-founded by Presidential Candidate Mitt Romney, has been hired by AMR Corp. to streamline their work force of 88,000 employees. [read post]
15 Mar 2021, 8:05 am
The post Jeffrey Stanga, FMN Capital Corp. [read post]
27 Mar 2023, 5:30 pm
Perera or Aegis Capital Corp. who have suffered financial losses as a result of Mr. [read post]
5 Mar 2019, 9:56 am
Among the broker-dealers that sold these investments were Advisor Group firms Sagepoint Financial Inc, Royal Alliance Associates, Inc., Woodbury Financial Services, Inc., and FSC Securities Corp. [read post]
12 Apr 2020, 7:10 am
Advisor Darren Oglesby (Oglesby), currently employed by Money Concepts Capital Corp. [read post]
5 Mar 2019, 10:03 am
Money Concepts Capital Corp. [read post]
4 Apr 2023, 4:08 am
Last month, the Subcommittee on Capital Markets of the House Financial Services Committee held a hearing entitled “U.S. [read post]
29 Jun 2016, 4:27 pm
If the Federal Reserve objects to a capital plan, a firm may not make any capital distribution unless expressly authorized by the Federal Reserve….The Federal Reserve did not object to the capital plans of Ally Financial, Inc.; American Express Company; BancWest Corporation; Bank of America Corporation; The Bank of New York Mellon Corporation; BB&T Corporation; BBVA Compass Bancshares, Inc.; BMO Financial Corp.; Capital… [read post]
4 Dec 2009, 12:29 pm
District Court for the Northern District of Texas against Cedar Brook Financial Partners, LLC; Next Financial Group, Inc.; QA3 Financial Corp. and Securities America, Inc. for their role in recommending these investments to their brokerage clients. [read post]
18 Jan 2011, 7:30 am
As reported Jan. 17 by Investment News, QA3 Financial Corp. is one of those broker/dealers. [read post]
25 Jul 2014, 5:08 am
Yesterday, Corp Fin Director Keith Higgins delivered this testimony before the House Financial Services Committee’s Capital Markets Subcommittee – talking about the state of the Division, with an emphasis on the status of Dodd-Frank and JOBS Act rulemaking. [read post]
