Search for: "Direct Capital Securities Inc"
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21 Jul 2008, 3:05 pm
The Securities and Exchange Commission has subpoenaed over 50 hedge fund advisors, including SAC Capital Advisors, Goldman Sachs Group Inc., and Citadel Investment Group, as part of its probe into whether rumors affected the shares of Bear Stearns and Lehman Brothers. [read post]
15 Sep 2022, 1:51 pm
In ZF Micro Solutions, Inc. v. [read post]
28 Sep 2012, 10:10 am
The Securities and Exchange Commission ("SEC") has accepted the Offer of Settlement from Advanced Equities, Inc. [read post]
11 Oct 2016, 2:00 pm
(“Sanomedics”) and former President and Board Director of Fun Cool Free Inc. [read post]
3 Aug 2020, 6:37 am
Advisor Christopher Shaw (Shaw), currently employed by Pruco Securities LLC (Pruco) and formerly employed by Kalos Capital, Inc. [read post]
5 Apr 2010, 12:31 pm
April 5, 2010 - IRA custodians, Zia Trust, Inc., Sunwest Trust, Inc., and Sterling Trust Company, hold funds as custodians for investors with self-directed Individual Retirement Accounts ("IRAs"). [read post]
24 Mar 2020, 6:35 am
Advisor Joseph Roop (Roop), formerly employed by Kalos Capital, Inc. [read post]
9 May 2023, 9:51 am
Background Kraft Heinz was formed through a 2015 merger between Kraft Foods Group, Inc. and H.J. [read post]
20 Jun 2011, 4:47 am
In Janus Capital Group, Inc. [read post]
15 May 2018, 6:34 am
Matthews is Senior Managing Director and Chairman of the Board of Sutter Securities, Inc. [read post]
20 Jun 2011, 12:31 pm
Barclays Capital Inc. v. [read post]
31 Jan 2013, 10:53 am
Because capital raising is such a critical function for middle market companies, we designed this series to introduce their management teams to some of the fundamental concepts in securities law. [read post]
15 Sep 2013, 11:04 am
From April 2004 until December 2006, Saviano was associated with USAllianz Securities, Inc. [read post]
20 Mar 2016, 7:50 am
The securities lawyers of Gana LLP are investigating a complaint filed by The Financial Industry Regulatory Authority (FINRA) against brokerage firm VFG Securities, Inc. [read post]
25 Jul 2012, 9:49 pm
Stock fraud lawyers are currently investigating claims on behalf of investors who suffered losses as a result of their investment in Dividend Capital Total Realty Trust Inc. [read post]
27 Mar 2023, 9:01 pm
In a direct listing, however, the company does not typically issue new shares. [read post]
21 Mar 2022, 11:24 am
That said, however, given the arguable advantages to plaintiffs’ lawyer’s in pleading this type of case in this way, there may be an attraction for plaintiffs’ lawyers to pursue these kinds of Delaware state court direct action cases, either in lieu of a securities class action, or is the case here, in parallel to a separately filed securities class action suit. [read post]
16 Oct 2019, 10:38 am
Advisor Jeffrey Davis (Davis), currently employed by Kovack Securities Inc. [read post]
22 Dec 2019, 9:17 am
Advisor David Miller (Miller), currently employed by PeachCap Securities, Inc. [read post]
8 Nov 2011, 2:58 pm
The complaint alleges that Apple Inc. of Cupertino, California (“Apple”) unlawfully imports into the U.S., sells for importation, and/or sells within the U.S. after importation certain devices with secure communication capabilities, components thereof, and products containing the same that infringe certain claims of U.S. [read post]
