Search for: "Chase Investment Services Corporation"
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9 Oct 2014, 7:00 am
Ken Chasse (“Chase”), member LSUC (1966); LSBC (1978). [read post]
8 Jul 2015, 2:29 pm
In April, 2015, a former JPMorgan Chase investment adviser was arrested on charges he stole $20 million from customers and spent the funds on unprofitable trading and other personal expenses. [read post]
27 Aug 2014, 8:00 am
Just think of Target, where Institutional Shareholder Services recommended a vote against all the members of the Audit and Risk Committee to hold them responsible for the infamous cybersecurity breach (all were nonetheless elected) or JPMorgan Chase, where two directors were for all practical purposes hounded off the board after the “London Whale” scandal came to light. [read post]
10 Aug 2022, 6:14 am
” According to his FINRA BrokerCheck report, Shafer was reportedly affiliated with the following FINRA registered firms during his career in the securities industry, among others: 09/04/2019 – 11/04/2020, NEWBRIDGE SECURITIES CORPORATION (CRD#:104065), SPRINGFIELD, IL, 06/17/2008 – 07/25/2019, MONEY CONCEPTS CAPITAL CORP (CRD#:12963), SPRINGFIELD, IL 07/06/2005 – 05/16/2008, CHASE INVESTMENT SERVICES CORP. [read post]
10 Feb 2013, 4:00 pm
The round was co-led by Chevy Chase, Md. [read post]
16 Mar 2014, 3:38 pm
.; MEDICAL DEVELOPMENT CORPORATION OF PASCO COUNTY, d/b/a THE BONATI INSTITUTE; JAMES S. [read post]
1 Jun 2009, 9:10 pm
FINRA also announced that SunTrust Investment Services Inc. and SunTrust Robinson Humphrey Inc. decided not to finalize their preliminary settlements. [read post]
11 Jun 2013, 7:02 am
Unlike Canada’s Crown corporations, which are designed to fill in market-failure gaps or provide public service, China’s SOEs are permitted to chase profits in sectors that do not even fall within their primary mandate. [read post]
17 Nov 2010, 4:01 pm
Liu, on behalf of the trustees of the New York City Pension Funds, is calling on directors at Bank of America Corporation (NYSE: BAC), Wells Fargo & Company (NYSE: WFC), JPMorgan Chase & Co. [read post]
3 Oct 2010, 5:00 am
(The court calls an investment adviser to a mutual fund a “service provider” and then asks whether the “service provider” could be primarily liable.) [read post]
23 Nov 2011, 9:16 pm
Finra Fines Wells Investment Securities For Alleged Misleading Marketing Materials, The Wall Street Journal, November 22, 2011 Public Non-Traded REITs—Perform a Careful Review Before Investing, FINRA More Blog Posts: Chase Investment Services Corporation Ordered by FINRA to Pay Back $1.9M for Unsuitable Sales of Floating-Rate Loan Funds and UITs, Institutional Investor Securities Blog, November 19, 2011 Morgan Stanley Faces $1M FINRA… [read post]
28 May 2008, 8:56 am
On May 9, United Parcel Service, the world's largest package-delivery company, wrote down the value of $383 million invested in auction-rate bonds by $33 million. [read post]
22 Oct 2018, 4:50 pm
The changes added in the updated version of the principles just released primarily related to three areas: board service and elections; proxy process; and asset manager and asset owner corporate governance responsibilities. [read post]
2 Jun 2011, 11:00 am
Staley led JP Morgan Chase’s Asset Management division for 10 years before returning to lead the company’s Investment Bank division. [read post]
14 Oct 2014, 8:15 am
Israel Hechter, 47, San Diego, California, the owner of San Diego-based mortgage investment firms Ocean 18, LLC, and Note Tracker Corporation, admitted in federal court that he paid $1 million in bribes to bank insiders at J.P. [read post]
15 Mar 2012, 6:25 am
Bennington was a Managing Director of Robertson Stephens, a full service investment bank, where she ran the Legal Department. [read post]
23 Dec 2009, 5:00 am
Securities firms, specifically investment banks, became the primary providers of long-term capital to American corporations. [read post]
17 Jun 2012, 7:36 am
” They have complementary missions of teaching, research, and public service. [read post]
24 Apr 2019, 8:06 am
Morgan Chase & Co. to sell AYUMI. [read post]
12 Oct 2011, 2:50 pm
After the Federal Deposit Insurance Corporation released its proposed “Volcker Rule,” Republicans on the House Financial Services Committee were quick to announce hearings on the proposed regulations. [read post]
