Search for: "Capital One Financial Corp."
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6 Aug 2019, 3:09 pm
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]
2 Aug 2022, 3:40 am
The events that led up to the enactment of the Sarbanes-Oxley Act principally involved accounting fraud, so Corp Fin inevitably became a very accounting-focused Division, with the review of public company filings becoming particularly focused on the financial statements and related disclosure. [read post]
3 Dec 2021, 6:53 am
FINRA, the U.S. securities industry regulator, said it has ordered New York City-based Aegis Capital Corp. to “pay approximately $2.8 million, including $1.7 million in restitution to 68 customers whose accounts were potentially excessively and unsuitably traded by the firm’s representatives. [read post]
3 Feb 2021, 8:30 am
FS KKR Capital Corp. and FS KKR Capital Corp. [read post]
18 Oct 2015, 6:43 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Edward Jeffery (Jeffery) has been the subject of one customer complaint and one regulatory action. [read post]
24 May 2013, 10:40 am
There was interest from many representatives from the local financial and business communities, reflecting an interest in accessing Asian capital. [read post]
20 Nov 2009, 5:44 am
One of those brokers is Mark Salyer, who stole nearly $6 million from his customers through private securities transactions he initiated to raise capital for various real estate development companies. [read post]
10 Jan 2017, 2:38 am
On January 10, 2017, Colony NorthStar, Inc. announced the completion of the merger of Colony Capital, Inc., NorthStar Asset Management Group Inc. and NorthStar Realty Finance Corp. which was previously announced on June 3, 2016 and approved by shareholders of the companies on December 20, 2016. [read post]
18 Jan 2011, 4:50 am
On Friday, the Financial Accounting Foundation bumped the FASB Board back up to 7 members by announcing that Daryl Buck, CFO of Reasor's Holding Company, and Harold Schroeder, Partner of Carlson Capital, have joined the Board. [read post]
7 Aug 2006, 8:05 am
The SEC assessed $256,000 in financial penalties and barred Smith from serving as an officer or director of any public company. [read post]
2 Feb 2017, 8:46 am
He was previously registered with Legend Securities, Inc. from March 2013 to February 2016, Aegis Capital Corp. from April 2012 to March 2013 and with John Thomas Financial from January 2008 to April 2012, according to BrokerCheck records. [read post]
10 Aug 2015, 4:40 am
Last Thursday, Corp Fin issued 11 Securities Act Rules CDIs (256.23 – 256.33) & one Securities Act Forms CDI (130.15). [read post]
25 Jul 2014, 7:56 am
Members of the Capital Markets Subcommittee, chaired by Rep. [read post]
4 Nov 2013, 8:37 am
Capital One Financial Corp. obtained a license to republish Banxcorp’s averages in advertising; the ads show how Capital One’s interest rates beat Banxcorp’s national averages. [read post]
1 Oct 2008, 4:00 pm
These violations included flawed methods of revenue-recognition, capitalization of expenditures, and amortization of trademarks. [read post]
27 Dec 2023, 6:09 pm
The programs included the following investments, Strategic Storage Trust Inc.; Griffin-American Healthcare REIT III Inc.; FS KKR Capital Corporation III; American Realty Capital Trust V Inc.; American Realty Capital Healthcare II Inc.; Walton US Land Fund 3 LP; NorthStar Healthcare Income; CION Investment Corp; and Griffin Capital Essential Asset REIT II. [read post]
1 Sep 2020, 3:03 am
It is not a one and done exercise. [read post]
28 Nov 2017, 6:38 am
According to BrokerCheck records, Falcon has received four customer complaints and one pending customer complaint. [read post]
6 Jul 2015, 10:56 am
The overview of the casePlaintiffs Intellectual Ventures I LLC and IntellectualVentures II LLC (collectively, “Intellectual Ventures ”)asserted infringement of claims of three patents againstdefendants Capital One Bank (USA), NA, Capital OneFinancial Corporation, and Capital One, NA (collectively,“Capital One”) . [read post]
3 Sep 2015, 7:00 am
After their stint at HFP Capital, the majority of the brokers became associated with Global Arena Capital Corp. and Rockwell Global Capital LLC. [read post]
