Search for: "Financial Asset Securities Corp."
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28 Nov 2016, 5:00 am
While it depends on the facts and circumstances, the term “customary compensation” generally lacks the specificity that securities holders need to evaluate the merits of the solicitation or recommendation and the objectivity of the financial adviser’s analysis or conclusions.Quantifying the amount of the compensation may not be required in all instances, but the summary of material terms of the compensation arrangements should include the types of fees payable to… [read post]
27 Mar 2023, 5:30 pm
Perera or Aegis Capital Corp. who have suffered financial losses as a result of Mr. [read post]
27 Dec 2023, 6:09 pm
The representative reportedly recommended that his customers concentrate their retirement assets and liquid net worth in speculative and illiquid securities. [read post]
18 Jun 2010, 9:36 pm
Dallas-based securities firm Cullum & Burks Securities Inc. has had its license suspended by the Financial Industry Regulatory Authority Inc. [read post]
11 Oct 2011, 9:04 pm
According to the Securities and Exchange Commission, the financial firm did not use reasonable pricing procedures and failed to calculate accurate “net value assets” for the funds. [read post]
11 Dec 2015, 3:06 am
Yesterday, Corp Fin weighed in on the FAST Act with this pair of CDIs and this “announcement,” which not only is a brief summary highlighting changes in the securities laws – but also provides some interpretive guidance. [read post]
28 Jun 2018, 11:49 am
On June 1, 2018, the Securities and Exchange Commission settled charges with 13 registered investment advisers to private funds: Bachrach Asset Management Inc., Bilgari Capital LLC, Brahma Management Ltd., Bristol Group Inc., CAI Managers & Co. [read post]
25 Jan 2011, 6:10 pm
Other defendants listed include National Securities, Next Financial Group and QA3 Financial Corp. [read post]
29 Apr 2011, 12:58 pm
A Financial Industry Regulatory Authority arbitration panel says that Lincoln Financial Advisors Corporation must pay the Wright Family Trust $1.6M over securities claims related to investments that were made in a number of funds. [read post]
4 Apr 2012, 7:43 am
State Street is a Boston-based financial services company registered with FINRA. [read post]
20 Jan 2016, 1:14 pm
The Securities and Exchange Commission today announced that Ocwen Financial Corp. has agreed to settle charges that it misstated financial results by using a flawed, undisclosed methodology to value complex mortgage assets.Ocwen agreed to pay a $2 million penalty after an SEC investigation found that the company inaccurately disclosed to investors that it independently valued these assets at fair value under U.S. [read post]
2 May 2008, 9:40 am
Morgan Asset Management Inc., a unit of Regions Financial Corp., announced that it had been replaced to oversee these two and five other bond funds for Regions, based in Birmingham, Alabama. [read post]
1 Dec 2010, 6:00 am
Corp. [read post]
4 Apr 2018, 11:28 am
Christopher Giancarlo affirmed their support of innovative financial technologies but warned investors of the risks of new markets. [read post]
29 Jun 2011, 11:37 am
The plaintiffs had accused the investment bank of causing them to suffer financial losses because it purchased the thrift’s assets at a “fire sale” price. [read post]
20 Dec 2019, 3:02 am
Yesterday, Corp Fin added to its “CF Disclosure Guidance Topic” series with two new topics. [read post]
14 May 2020, 1:10 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
23 Nov 2010, 6:29 am
As we first covered here, Ambac Financial Group Inc., the parent of the ailing Wisconsin-domiciled bond insurer Ambac Assurance Corp., filed for Chapter 11 bankruptcy relief with United States Bankruptcy Court for the Southern District of New York on November 8, 2010. [read post]
20 Jan 2021, 12:30 pm
Securities and Exchange Commission (SEC) has launched an investigation of ExxonMobil Corp (Exxon), according to The Wall Street Journal. [read post]
6 Apr 2012, 9:48 am
The SEC charged Franklin Bank Corp. [read post]
