Search for: "Capital One Financial Corp."
Results 41 - 60
of 1,403
Sorted by Relevance
|
Sort by Date
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]
29 Mar 2010, 5:22 am
The SEC’s complaint went on to state that Medical Capital and its subsidiaries - Medical Capital Corp. and Medical Provider Funding Corp. [read post]
8 Jul 2020, 7:42 am
He previously worked for Money Concepts Capital Corp (CRD# 12963), Chase Investment Services Corp (CRD# 25574), Banc One Securities Corporation (CRD# 16999), and Edward Jones (CRD# 250). [read post]
21 Apr 2022, 1:40 pm
Aegis Capital Investor Lawsuits involving GWG L Bonds Aegis Capital is one of many regional broker-dealers who sold L Bonds to investors. [read post]
21 Apr 2016, 11:12 am
Overcome with debt, RCS Capital Corp., or RCAP, filed for a pre-arranged Chapter 11 filing at the end of January as part of an agreement reached with a majority of its lenders. [read post]
9 Jan 2023, 12:30 pm
We dive deep into what Delaware C-Corps are, how to create one, and how incorporating as a C-Corp can benefit your business. [read post]
14 May 2018, 1:22 pm
He has been employed at Aegis Capital Corp. from 2016 until his bar from the industry. [read post]
22 Apr 2024, 1:35 am
Restrictions on ownership & shareholders: S corps cannot issue more than one type o [read post]
5 Oct 2020, 7:34 am
Robert Buffington (CRD#:5220332) is a previously registered broker whose last employer was Aegis Capital Corp. [read post]
22 Jun 2009, 7:34 pm
The Financial Industry Regulatory Authority says that RBC Capital Markets Corp., Raymond James & Associates, Inc., and an RBCCMC head trader have settled charges over alleged broker misconduct connected to stock loan improprieties. [read post]
26 Mar 2020, 3:00 am
When it comes to earnings disclosure, Corp Fin touches on several issues, one of which is non-GAAP financial data. [read post]
23 Sep 2011, 10:21 am
The Financial Industry Regulatory Authority or FINRA ordered Richard H. [read post]
10 Feb 2014, 7:34 pm
(How State Capital Investment Corp uses its money, Tuoitrenews, 03/07/2013). [read post]
27 May 2022, 7:57 am
S Corporations are one of the most popular operating vehicles for small business in the United States. [read post]
9 Jun 2015, 6:46 am
According the BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) the agency suspended former Global Arena Capital Corp (Global Arena) broker Niaz Elmazi a/k/a Nick Morrisey (Morrisey) concerning allegations that Morrisey failed to respond to FINRA’s requests for information. [read post]
12 Jan 2021, 1:42 pm
Gregory Washington has 10 years of experience and started in the securities industry in 2009 and has previously worked for such companies as Aegis Capital Corp, Spartan Capital Securities and Maxim Group. [read post]
21 May 2019, 7:28 pm
Cantor Fitzgerald and BTIG, LLC acted as capital markets and financial advisors to Pivotal. [read post]
29 May 2013, 10:57 am
According to their website, Commonwealth Capital Corp., is an equipment leasing and financial services company that was founded in 1978 and is located in Pennsylvania. [read post]
17 May 2021, 4:37 pm
While the discourse of capitalism is one of freedom, the reality is that the capitalist system puts all sort of limits on that freedom in order to survive and function. [read post]
29 Jan 2019, 5:06 am
Now, in addition to his prison term, the former Rock Capital broker must pay one of his victims $13,776,518. [read post]
