Search for: "Senior Security Corp."
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5 Apr 2011, 2:39 pm
Senior management in financial institutions set the tone of the importance, awareness and compliance for information security. [read post]
10 Oct 2011, 4:50 am
In this Securities Technology Monitor article, Broadridge responds as reflected in this excerpt: "The latest survey by the STA consists of twenty imaginary prices for services it doesn't offer, has no idea how to perform, and would never have to deliver," says Chuck Callan, senior vice president of regulatory affairs for Broadridge in a statement to Securities Technology Monitor on Friday morning. [read post]
28 Jan 2017, 8:12 pm
The Principals Committee Section B continues the practice of the outgoing administration of using the NSC Principals Committee (PC) as the “Cabinet-level senior interagency forum for considering policy issues that affect the national security interests of the United States. [read post]
30 Oct 2013, 5:06 am
Today's post was shared by FairWarning and comes from blogs.wsj.com Stryker Corp. settled a long-running U.S. foreign bribery case, agreeing on Thursday to pay $13.3 million to the Securities and Exchange Commission to resolve the allegations — without admitting or denying them. [read post]
3 Aug 2012, 1:14 am
Also recently sentenced was Dennis Woods Bowden, who was previously chief operating officer of COO of Amerifirst Acceptance Corp. and Amerifirst Funding Corp. [read post]
22 Mar 2010, 4:19 pm
Among the firms on Galvin’s hit list: QA3 Financial Corp., National Securities Corp., CapWest Securities, Independent Financial Group LLC, Investors Capital Corp. and Centaurus Financial. [read post]
5 Sep 2007, 7:04 am
James Bartis, Senior Policy Researcher, RAND Corp; Mr. [read post]
13 Apr 2018, 10:58 am
Business Development Corp. of America (“BDCA”) is a non-traded business development company that invests in first and second lien senior secured loans and mezzanine debt issued by middle market companies. [read post]
31 Aug 2023, 3:30 am
Is a Form F-SR nevertheless required solely to check the box under “Registrant Purchases of Equity Securities” section of Form F-SR for the covered purchases or sales of securities by a director or member of senior management who would be identified pursuant to Item 1 of Form 20-F? [read post]
21 Sep 2013, 6:51 am
Seniors have become a major target for speculative securities products since the financial crisis of 2008. [read post]
2 Apr 2009, 4:29 am
The notes, due April 1, 2012, are guaranteed under the Federal Deposit Insurance Corp.'s Temporary Liquidity Guarantee Program, the Pittsburgh-based bank said in a filing with the Securities and [...] [read post]
29 Mar 2010, 12:20 pm
[JURIST] Former International Business Machines Corp. [read post]
15 Sep 2009, 4:46 am
Corp Fin Updates a Number of CDIs Here's my pitiful plea before today's "meat. [read post]
27 Mar 2007, 4:41 pm
Examples of high-pressure tactics designed to sell insurance and annuities products to senior citizens and others have been released by the Massachusettes Securities Division in a call for additional regulations to curtail such practices. [read post]
30 Sep 2019, 2:11 am
The groups are now called “Offices” – led by a “Chief” and a “Senior Advisor. [read post]
1 Sep 2010, 1:30 pm
The SEC today charged two former senior accounting professionals at Koss Corporation, a Milwaukee-based headphone manufacturer, with accounting fraud, books-and-records violations, and related misconduct arising from the embezzlement of more than $30 million from the company. [read post]
15 Feb 2022, 12:23 am
(CION) Securities Fraud Investigation Did your broker-dealer recommend an investment in CION Investment Corporation (NYSE: CION), a business development company (BDC), that provides senior secured loans to U.S. mid-market companies? [read post]
18 Sep 2014, 3:14 am
That’s why I was a little surprised to see this WSJ article entitled “To Be Clear, SEC Reviewers Want Filings in Plain English, Period”: After combing through a 19,974-word filing for a securities offering, Securities and Exchange Commission senior counsel Catherine Gordon had some guidance for the company that drafted it. [read post]
4 Aug 2015, 2:59 pm
If you or a family member lost money with Aegis Capital Corp., contact the securities fraud lawyers at Malecki Law for a free consultation and case evaluation at (212) 943-1233. [read post]
20 Apr 2022, 1:03 pm
Background Peridot Acquisition Corp. is a special purpose acquisition company (SPAC). [read post]
