Search for: "Financial Security Assurance, Inc."
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2 Apr 2020, 4:14 pm
Blue Apron Holdings, Inc., the Delaware Supreme Court held that a company’s charter provisions requiring Securities Act claims to be brought in federal court were facially valid under Delaware law. [read post]
8 Jul 2020, 7:20 am
Before joining Lincoln Financial (CRD# 3978) in 2012, Schmidt was registered with Hornor, Townsend & Kent, Inc. [read post]
13 Nov 2012, 11:54 am
McWood, 280 F.3d 1078 (6th Cir.andnbsp; 2002); UBS Financial Services Inc. v. [read post]
27 Jan 2012, 6:55 am
Capital Financial Services, Inc. [read post]
6 Jul 2011, 10:11 pm
• First NLC Financial Services • Wilmington Finance Inc. [read post]
23 Feb 2018, 10:49 am
Financial institutions and advisers that manage retirement plan assets and are subject to the regulations of the Department of Labor (“DOL”) under the Employee Retirement Income Security Act of 1974, as amended, (“ERISA”) regarding fiduciary duties (the “Fiduciary Rule”) may also be subject to state law violations for failure to comply with the Fiduciary Rule. [read post]
17 Dec 2014, 4:20 am
Chabad-Lubavitch, Inc. [read post]
16 Mar 2012, 3:00 am
In another recent Court of Appeals decision addressing important issues in class or collective actions, Blackrock Financial Management Inc. et al. v. [read post]
5 Feb 2019, 10:46 am
On January 29, 2019, the Securities and Exchange Commission (“SEC”) settled charges with the following four public companies for alleged deficiencies in maintaining ICFR: Grupo Simec S.A.B. de C.V., CytoDyn, Inc., Lifeway Foods, Inc. and Digital Turbine, Inc. [read post]
12 Feb 2019, 11:30 am
Securities and Exchange Commission. [read post]
6 Mar 2018, 12:00 am
Northern Oil and Gas, Inc. [read post]
26 Jul 2011, 4:06 am
Liberty Life Assurance Company of Boston, Robert Weathers an employee of Michelin North America, Inc. was declared disabled and applied for his disability benefits through his disability plan at Michelin. [read post]
17 Oct 2018, 4:19 pm
The experience of Anthem, Inc. illustrates this point. [read post]
28 Jun 2017, 10:48 am
Bond Insurers File Lawsuit Against Puerto Rico Financial Oversight Board In other Puerto Rico debt news, National Public Finance Guarantee Corp, which is an MBIA Inc. unit, and Assured Guaranty Ltd. are suing Puerto Rico’s financial oversight board. [read post]
25 May 2011, 12:59 pm
UBS Financial Services Inc. has agreed to pay $160 million to settle claims regarding their anticompetitive actions in the municipal bond market. [read post]
24 Aug 2022, 9:01 pm
(“BNY Mellon”), relating to its ESG assurances in violation of the Investment Advisers Act of 1940 and the Investment Company Act of 1940. [read post]
9 Feb 2009, 3:09 pm
Various companies, including Citigroup Global Markets Inc., Wells Fargo Securities, LLC, Bank of America Securities LLC, Merrill Lynch & Co. [read post]
11 Jul 2023, 11:19 am
(CRD#:3001), CHICAGO, IL, B, 02/29/2016 – 09/17/2018, AUSDAL FINANCIAL PARTNERS, INC. [read post]
7 Oct 2021, 7:36 am
It went to great lengths to assure its customers that the financial and app-related data it sold was the product of a sophisticated statistical model and that it had controls to ensure compliance with the federal securities laws. [read post]
9 Jul 2018, 2:03 pm
On June 27, 2018, the New York Court of Appeals ruled that Ambac Assurance Corporation (“Ambac“) could not recover the full $2.2 billion in damages it sought in the form of claim payouts on $25 billion worth of securitized mortgages from Countrywide Home Loans, Inc. [read post]
