Search for: "JEFFERIES & COMPANY, INC."
Results 1 - 20
of 101
Sorted by Relevance
|
Sort by Date
14 Apr 2011, 12:14 pm
FINRA announced that it fined Jefferies & Company, Inc. $1.5 million for failing to disclose additional compensation received and conflicts in connection with the sale of auction rate securities (ARS). [read post]
9 Apr 2018, 10:02 am
Jeffery Alan Fanning, according to FINRA records online, was previously registered with Kennedy, Cabot & Co., Rowland, Simon & Co., Stifel, Nicolaus & Company, Inc., Wilshire Discount Securities, Thomas F. [read post]
11 Oct 2011, 2:10 pm
In addition, according to FINRA records, Jeffery Ogle is already facing at least one securities arbitration claim alleging that, among other things, he sold unsuitable investments in Masterbuilt Estate Homes, Inc., a real estate development company which is purportedly owned by Jeffery Ogle's father. [read post]
4 Dec 2006, 9:55 pm
Jefferies Company, Inc. reached a settlement with the SEC and NASD relating to the activities of a former employee who was dismissed by Jefferies Company in 2004. [read post]
18 Oct 2015, 6:43 am
Jeffery entered the securities industry in 1992 with Paulson Investment Company, Inc until April 2012. [read post]
20 Aug 2018, 10:47 am
Jeffery J. [read post]
20 Jun 2023, 1:21 pm
In addition, Jeffery D. [read post]
24 Aug 2020, 6:00 am
In this case, Jefferies Financial Group Inc. [read post]
26 Aug 2011, 10:29 am
O'Neil/Associates Inc., World Outlook, World Outlook Management and Universal Restoration, none of which were licensed by the Texas Office of Consumer Credit Commissioner, according to the indictment. [read post]
26 Aug 2011, 10:29 am
O’Neil/Associates Inc., World Outlook, World Outlook Management and Universal Restoration, none of which were licensed by the Texas Office of Consumer Credit Commissioner, according to the indictment. [read post]
26 Aug 2011, 10:29 am
O'Neil/Associates Inc., World Outlook, World Outlook Management and Universal Restoration, none of which were licensed by the Texas Office of Consumer Credit Commissioner, according to the indictment. [read post]
30 Mar 2020, 8:51 am
The attorneys general of 15 states sent a letter to John Mackey and Jeffery Bezos, the CEOs Whole Foods Market, Inc. and Amazon.com, Inc., respectively, expressing concerns that the “paid sick leave policies of Whole Foods and Amazon…are inadequate to protect the public health during the developing COVID-19 crisis. [read post]
13 Mar 2020, 1:51 pm
The post Silver Law Group Is Investigating Beyond Meat, Inc. [read post]
20 Jan 2009, 11:15 pm
The Charlottesville Daily Progress reports today that Jeffery King, a Baptist pastor who also worked at a Charlottesville, Virginia pharmacy services facilty of Cardinal Health, Inc., has filed a Title VII religious discrimination lawsuit against his former employer in federal district court. [read post]
5 Aug 2019, 7:56 am
Jefferies LLC acted as exclusive financial advisor to Navigant. [read post]
8 Jul 2019, 6:00 am
KCG Holdings, Inc., C.A. [read post]
31 Jan 2012, 7:49 am
Jefferies is the first to use those terms this year, but last year, five companies used the term in 11 filings. [read post]
13 Aug 2011, 5:55 am
The policyholders hired Jeffery Moss, of Associated Adjusters Inc., as their public insurance adjuster. [read post]
20 Aug 2020, 6:23 am
In In re HomeFed Corporation Stockholder Litigation (July 13, 2020), the Delaware Court of Chancery held that the going-private transaction involving HomeFed Corporation (the “Company”) and its controlling stockholder, Jefferies Financial Group Inc., did not meet the prerequisites, under MFW, for business judgment review. [read post]
