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15 Dec 2022, 8:33 am
The CD&I posits neither. [read post]
8 Apr 2020, 4:27 pm
CD-2020-0007 and ENF-20-CDO-1801. [read post]
5 Jul 2012, 11:09 am
As I previously blogged, on July 3 the federal district court (D.C.) denied the SEC's application for an order compelling SIPC to commence a liquidation proceeding to protect customers who purchased CDs issued by an Antiguan bank marketed by the... [read post]
30 Apr 2013, 7:41 am
It is undisputed that the investors had purchased and received those CDs at the time the broker failed. [read post]
25 Nov 2017, 7:34 am
Getting an early start to reviewing the CD&A as a whole, focusing on why each element of disclosure is included and how it helps investors understand the company’s compensation programs and philosophy, will help ensure that the CD&A clearly communicates the information that investors are seeking. [read post]
3 Feb 2009, 2:09 am
A naked CDS contract, on the other hand, is where the buyer or investor does not own the underlying bond. [read post]
21 May 2010, 5:36 pm
And nobody has studied the effects of receiving a CDS payout on post-petition creditor behavior.But none of these bad effects are the result of an investor who holds CDS without owning the underlying debt -- indeed, these effects only arise from hedged creditors, not holders of naked CDS positions. [read post]
10 Dec 2010, 5:15 am
"[The SEC] claims that defendants William Wise, Kristi Hoegel and others hoodwinked 375 investors by selling them 'self-styled 'certificates of deposit' that promised returns "up to 321 percent higher than legitimate bank-issued CDs," according to the Courthouse News Service. [read post]
7 Sep 2010, 2:27 pm
As both a securities lawyer and adjunct professor at the University of San Francisco where I supervise the law school's Investor Justice Clinic, I have seen a never ending stream of victims who had a local bank teller steer them to a stockbroker sitting at a nearby desk inside the bank branch who promised them a much better yield than they were currently earning in their savings account or Certificate of Deposit ("CD"). [read post]
7 May 2021, 9:03 am
Many Northstar investors reside in Latin America or elsewhere, and we are able to represent investors wherever they reside. [read post]
24 Sep 2008, 10:53 am
As we reported yesterday, New York State, determined to take the lead in the regulation of CDS contracts, announced that it would regulate certain CDS contracts as insurance. [read post]
10 Nov 2021, 8:13 am
The brokers, who earned higher sales commissions by pushing Northstar, recommended to the investors that the offshore annuities carried the same equal protections as a CD but with a higher monthly yield. [read post]
19 Apr 2010, 4:37 am
” And neither did investors as it turns out. [read post]
28 May 2009, 4:57 am
GM Investors holding credit default swaps [CDS] may get a better return on their investment if GM files what would be history’s 4th largest bankruptcy. [read post]
5 Jan 2022, 12:45 pm
Giltman, a former registered investment professional, with allegedly participating in a long-running fraudulent scheme to lure investors into buying fictitious certificates of deposit (CDs). [read post]
12 May 2015, 7:15 am
The latest case - the SEC charged a retirement planning firm and its principals with falsely telling customers that interests in life settlements they offered and sold were “guaranteed,” “safe as CDs,” and “federally insured. [read post]
31 May 2019, 6:22 am
The Council of Institutional Investors (CII) on April 29, 2019, petitioned the U.S. [read post]
16 Jan 2009, 10:06 am
That meant investors were unable to sell their securities. [read post]
16 Oct 2013, 1:38 pm
’” The District Court determined that the belief that the CD’s were backed by marketable securities induced the investors to purchase the CD’s. [read post]
17 Apr 2016, 2:15 pm
Many have raised questions regarding the award total based on the investor’s loss. [read post]
