Search for: "Stanford Financial Group Company"
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12 Dec 2018, 6:02 am
Compensation contracts are dominated by equity awards and milestone-based payouts whose amounts are not justified in an annual proxy or explained in light of the company’s compensation philosophy, pay objectives, or the peer-group analysis that public companies are required to disclose. [read post]
7 Mar 2012, 8:59 am
James Davis, the former CFO of the Stanford Financial Group was one of the key witnesses who testified against Mr. [read post]
11 May 2018, 7:22 am
He took ZZZZ Best public, managing to trick Ernst & Whinney into certifying the company’s fraudulent financial statements. [read post]
2 May 2010, 7:58 am
Moderator: Theodore Glasser, Stanford University Scott Rosenberg, author: Who is “we”? [read post]
31 Aug 2009, 7:11 am
* Stanford Financial Group investors have filed a class action against Proskauer Rose and partner Thomas V. [read post]
7 Apr 2009, 4:29 pm
Davis, 60, chief financial officer of the Stanford Group Co., and that company's chief investment officer, Laura Pendergest-Holt, 35. [read post]
17 Oct 2023, 6:30 am
While most contracts utilized in VC finance are not publicly available, a defining feature of a company’s charter is that it is both publicly-available and plays a pivotal role in VC financial contracting. [read post]
17 Oct 2023, 6:30 am
While most contracts utilized in VC finance are not publicly available, a defining feature of a company’s charter is that it is both publicly-available and plays a pivotal role in VC financial contracting. [read post]
12 Jan 2012, 8:28 am
In addition to the criminal case filed case against Stanford, he also faces SEC civil charges, along with Stanford International Bank (SIB), investment adviser Stanford Capital Management, investment adviser and broker-dealer Stanford Group Company (SGC), Stanford Financial Group (SFG), and two senior company officials. [read post]
17 Oct 2013, 2:04 pm
Since the CD’s at the heart of the Ponzi scheme were marketed to investors by Houston-based Stanford Group Company (“SGC”) – a broker dealer registered with the SEC and SIPC – in 2009, the court appointed receiver of Stanford’s companies asked SIPC to evaluate whether the customers of SGC were entitled to SIPC’s protection. [read post]
20 Nov 2009, 8:21 am
Allen Stanford. [read post]
3 Jul 2012, 4:29 pm
In other Texas securities news, ex-Stanford Financial group chief investment officer Laura Pendergest Holt has pled guilty to charges that she obstructed the SEC’s probe into Stanford International Bank, which was owned by Ponzi scammer Robert Allen Stanford. [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]
19 Feb 2009, 4:16 pm
According to the Journal and others, Sjoblom, a Proskauer litigator and former Law Blog Lawyer of the Day sent a note to the SEC in which he said, “I disaffirm all prior oral and written representations made by me and my associates to the SEC staff regarding Stanford Financial Group and its affiliates. [read post]
26 Feb 2014, 9:34 am
However, the class action alleges that the company owners “have taken hundreds of millions of dollars from a group of vulnerable senior citizens, deprived them of their security, and placed much of their lifetime savings at risk. [read post]
17 Aug 2017, 7:34 am
Allen Stanford created a massive Ponzi scheme using a large network of interconnected companies and a bank that were collectively known as the Stanford Group. [read post]
2 Dec 2019, 7:20 am
""Every day, Wall Street funnels billions of dollars of our hard-earned savings into dirty businesses such as fossil fuels and commodities companies," said Graham Steele, director of the Corporations and Society Initiative at Stanford Graduate School of Business and co-author of the report. [read post]
8 May 2012, 5:00 am
The SEC requested that the court order the SIPC to file an application in Texas federal court to start liquidation proceedings for the Stanford Group Company (“SGC”). [read post]
SEC Gets Initial Victory in Lawsuit Against SIPC Over Payments Owed to Stanford Ponzi Scam Investors
10 Feb 2012, 5:32 pm
However, Stanford Group Company, which promoted the CDs to the investors, is a member of SIPC. [read post]
20 Feb 2009, 2:51 pm
According to reports in the WSJ, Law Blog and elsewhere, Stanford's attorney, Thomas Sjoblom of Proskauer Rose, alerted the SEC on February 14 via a "note" that "I disaffirm all prior oral and written representations made by me and my associates to the SEC staff regarding Stanford Financial Group and its affiliates. [read post]
