Search for: "Capital One Financial Corp."
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23 Dec 2015, 6:11 am
See RBC Capital Mkts., LLC v. [read post]
30 Jan 2023, 9:41 am
(CRD#:47351, expelled by FINRA on 5/10/2016), Global Arena Capital Corp (CRD#:16871, expelled by FINRA on 1/4/2016), B.B. [read post]
4 May 2022, 8:47 am
One complaint is pending, two were denied, one was settled and one was closed-no action, according to FINRA. [read post]
1 Apr 2021, 2:55 am
Yesterday afternoon, Corp Fin issued this “Staff Statement” to highlight accounting, financial reporting & governance issues that they want people to carefully consider before taking private companies public via a SPAC. [read post]
29 Jan 2016, 9:01 am
One of the main issues facing financial advisors who sell funds and master-limited partnerships is suitability. [read post]
7 Jun 2012, 3:39 am
Corp Fin Revamps Its Web Page Yesterday, the Division of Corporation Finance rolled out a revamped web page on sec.gov. [read post]
21 Feb 2008, 8:24 am
In prepared testimony to the House Financial Services Subcommittee on Capital Markets, New York Insurance Department Superintendent Eric Dinallo said that such separation is one of the proposals regulators have been discussing with struggling bond insurers, FGIC Corp., MBIA Inc., and Ambac Financial Group Inc. [read post]
20 Jun 2017, 7:31 am
Aegis Capital Corp. [read post]
4 Dec 2008, 6:57 pm
K&L Gates and Wachtell, Lipton, Rosen & Katz advised Capital One Financial Corp. in its long awaited $520 million acquisition of Chevy Chase Bank, the Washington, D.C. [read post]
21 Jun 2022, 1:21 pm
Arkady Ginsburg (CRD:#5256747) is a registered broker who is currently employed with Aegis Capital Corp. [read post]
7 Jun 2023, 7:29 am
What is an S-Corp and C-Corp? [read post]
17 May 2021, 3:00 am
Speaking before the SEC’s 8th Annual Conference on Financial Market Regulation, SEC Chair Gary Gensler reportedly stated that the Staff was working on a new rule addressing disclosure of human capital metrics. [read post]
28 Apr 2017, 2:06 pm
According to FINRA’s BrokerCheck record, there are at least 11 disclosures on Segal’s record including customer complaints, multiple regulatory actions, and one employment separation from Aegis Capital Corp. [read post]
19 Aug 2019, 7:28 am
Thompson on suspicion of downloading nearly 30 GB of 100 million Capital One Financial Corp credit applications from a rented cloud data server. [read post]
7 Jun 2022, 3:29 am
The Parking REIT Changes Name to Mobile Infrastructure Corp. [read post]
24 Nov 2020, 3:04 am
Corp Fin’s disclosure guidance isn’t completely unexpected. [read post]
11 Sep 2018, 1:30 pm
(CRD #6363), Investors Capital Corp. [read post]
30 Apr 2015, 12:49 pm
A C Corp is the gold standard of startups set for rapid human and financial capital expansions. [read post]
23 Feb 2012, 4:51 am
Cash Method vs Accrual Accounting for LLC & C-Corp An LLC is one of the most flexible business entities available. [read post]
4 Sep 2018, 2:57 am
As noted in this WSJ article, SEC Chair Jay Clayton recently noted in this speech that a concept release on capital formation is on the way. [read post]
