Search for: "Security Connections, Inc."
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17 Mar 2022, 12:08 pm
(CRD#:8174), WAYZATA, MN 11/09/2001 – 02/12/2009, CITIGROUP GLOBAL MARKETS INC. [read post]
5 Oct 2021, 8:25 pm
FINRA has barred former PFS Investments Inc. broker Jeffrey Dampf from the securities industry. [read post]
21 Jun 2020, 6:30 pm
Due to the relative lack of abundant, comprehensive case law analyzing the criteria the court will use to determine the amount of security deemed sufficient for purposes of satisfying DGCL Section 280 in connection with seeking court approval of a dissolution, and related distributions, the recent Court of Chancery decision in the matter of In Re Swisher Hygiene, Inc., C.A. [read post]
19 Oct 2021, 6:54 am
" This requirement was given a broad reading by the Court in 2006 in Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
16 Apr 2010, 12:02 pm
Inc. [read post]
6 Apr 2010, 5:22 pm
The same address is also identified as the debtors' principal place of business in an agreement entered into in connection with the loan giving rise to RKF's secured claim. [read post]
22 Oct 2020, 9:09 am
The Securities and Exchange Commission today announced charges against The Goldman Sachs Group Inc. for violations of the Foreign Corrupt Practices Act (FCPA) in connection with the 1Malaysia Development Berhad (1MDB) bribe scheme, and as part of…Read the Full Press ReleaseHave a securities law question? [read post]
18 Jun 2013, 2:54 pm
bankruptcy that payments made by a company in purchasing notes issued by an affiliate constituted transfers made in connection with a securities contract. [read post]
23 May 2011, 5:05 am
May 11, 2011), the United States Court of Appeals for the Second Circuit affirmed three lower court decisions holding that various defendant rating agencies, including The McGraw Hill Companies, Inc., Moody’s Investors Service Inc. and Fitch, Inc. [read post]
9 Mar 2021, 2:31 pm
Several customers have filed securities arbitration claims against David Lerner Associates Inc. [read post]
13 Apr 2010, 9:00 am
It failed to sufficiently connect the alleged misstatements to the purchase or sale of securities. [read post]
29 Feb 2012, 7:53 am
A leading global investment banking, securities and investment management firm revealed in its SEC-filed 10-K that it received a Wells Notice from the SEC staff with respect to the disclosures contained in the offering documents used in connection with a late 2006 offering of approximately $1.3 billion of subprime residential mortgage-backed securities underwritten by the firm. [read post]
16 May 2013, 5:03 am
Charles Morgan Securities, Inc., Respondent (FINRA Arbitration 11-04357, May 9, 2013).Respondent Charles Morgan Securities generally denied the allegations and asserted various affirmative defenses.The sole FINRA Arb... [read post]
5 Jan 2023, 8:38 am
Center Street Securities Inc. [read post]
9 Dec 2009, 12:48 pm
Broudo, 544 U.S. 336, 342-48 (2005), in connection with the sentencing of a defendant in a criminal securities fraud prosecution. [read post]
9 Dec 2009, 12:48 pm
Broudo, 544 U.S. 336, 342-48 (2005), in connection with the sentencing of a defendant in a criminal securities fraud prosecution. [read post]
23 Nov 2011, 6:04 am
Securities and Exchange Commission (SEC) announced that Randall Merk (Merk), former Executive Vice President of Charles Schwab & Co., Inc. and President of Charles Schwab Investment Management, has agreed to pay a $150,000 fine to settle charges brought against him in connection with Schwab's YieldPlus Fund. [read post]
24 Dec 2014, 10:54 pm
Such person may not receive “compensation in connection with the purchase or sale of the security,” have possession of customer funds or securities, or be subject to a statutory disqualification. [read post]
13 Nov 2012, 11:54 am
Prudential-Bache Securities, Inc., 719 F. [read post]
26 Jan 2015, 10:30 pm
They had cloud-based backups that were not continually connected to the office servers. [read post]
