Search for: "Global Financial Credit, LLC"
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30 Jul 2011, 2:31 am
Brookfield is a global investment advisor focused on specialized equity and fixed income securities investments. [read post]
15 Nov 2023, 6:26 am
In addition, FinTech investment adviser Titan Global Capital Management USA LLC agreed to pay more than $1 million combined in a civil penalty, disgorgement, and prejudgment interest to settle charges that it violated the marketing rule. [read post]
5 Aug 2016, 7:02 am
Member Miscimarra filed a separate opinion concurring in part and dissenting in part (Wayron, LLC, August 2, 2016). [read post]
9 Oct 2007, 3:32 pm
Other firms sanctioned included UBS Securities; Bear Stearns & Co.; Credit Suisse Securities (USA) LLC ; Banc of America Securities LLC; Goldman Sachs & Co.; JP Morgan Securities; Wachovia Capital Markets LLC; and Keefe, Bruyette & Woods Inc. [read post]
30 Jun 2010, 7:14 pm
Foreside Fund Services, LLC is the distributor of the AdvisorShares ETFs. [read post]
23 Jul 2021, 8:38 am
” A digital currency would also allow users to bypass payment services providers such as credit cards, which antitrust watchdogs globally have said exhibit anticompetitive practices, the central bank said. [read post]
17 Jun 2019, 1:29 pm
Middlemarch Partners, through its subsidiary Middlemarch Securities, LLC, served as the financial advisor to Elevate in the Kayne Partners transaction. [read post]
16 Mar 2015, 7:10 pm
Their concentrated losses could have a more impactful and disproportionately large effect on global markets, especially in the financial derivatives area, as compared to the more widely-scattered gains of the average man in the street. [read post]
10 Jul 2015, 7:03 pm
Atkins, CEO of Patomak Global Partners, LLC and former SEC Commissioner, took issue with the Act’s creation of the FSOC and the SIFI designation process, as well as the Volcker Rule and the impact on bond market liquidity and noted that costs associated with these changes are falling onto investors. [read post]
20 Sep 2018, 2:27 pm
Also facing SEC charges are Jezierski, Merrill, and Ledford’s numerous entities, including: Delmarva Capital, LLC LLC Rhino Capital Group, LLC Global Credit Recovery, LLC Riverwalk Financial Corporation Rhino Capital Holdings, DeVille Asset Management LTD The SEC wants disgorgement, prejudgment interest, and financial penalties. [read post]
24 Mar 2008, 9:41 am
Major shareholders of Bear Stearns stock included Bear Stearns employees (which collectively hold about one third of Bear Stearns stock), billionaire Joseph Lewis, Morgan Stanley, Legg Mason, Barclays Global Investors, and State Street Global Investors. [read post]
9 Oct 2012, 3:53 pm
A second registered futures entity, York Business Associates LLC, has agreed to pay a $130K penalty and disgorge $69K to the CFTC. [read post]
15 Apr 2020, 8:56 am
Packaged by Korean and global financial firms and sold primarily to individual investors, the products are designed to deliver bond-like coupons with exposure to the upside in things like equities and crude oil. [read post]
14 Mar 2012, 8:43 am
Among the other market crisis cases brought by the SEC are proceedings against: • RBC Capital Markets LLC who was named in a September 2011 settled administrative proceeding brought by the SEC for misconduct relating to the sale of unsuitable investments (credit-linked notes that were tied to the performance of synthetic collateralized debt obligations or "CDOs") to five Wisconsin school districts; • Thomas Wu, the former CEO of United Commercial Bank, who was… [read post]
8 Feb 2019, 7:43 am
Stick to your financial plan and long-term goals. [read post]
31 Oct 2012, 8:21 am
" Projects in Tennessee received a total of $350,390.169 in credits [including]... [read post]
24 Jun 2019, 1:21 pm
That’s really about whether or not financial advisors are out there doing the best thing for their clients, and whether or not the financial institutions are doing the same thing. [read post]
11 Jul 2016, 5:48 am
According to the press release, the class representative for the consumer class is to be Walter Merricks, who previously served as Chief Financial Services Ombudsman. [read post]
2 Feb 2010, 12:54 am
Siano (Two Sigma Investments, LLC), J.W. [read post]
16 Sep 2009, 8:07 pm
Following the global credit crisis, there has been $1.7 trillion in losses and writedowns. [read post]
