Search for: "RBC Capital Markets Corporation"
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6 Feb 2018, 9:54 am
Since many such offerings remain somewhat unregulated, investor threat to losing funds is a reality.[4] Challenges Despite the large market capitalization of the crypto market, huge price fluctuations and the increase in demand to trade cryptocurrencies, the market faces major issues associated with structural, functional, security and regulation. [read post]
6 Nov 2017, 7:33 am
Former RBC Advisor Lisa Lowi reportedly Barred after 37 Customer Disputes Did you lose money investing with Lisa Lowi and RBC Capital Markets? [read post]
31 Jul 2017, 1:10 pm
The post FINRA Fines RBC Capital Markets for Compliance Issues appeared first on White Securities Law. [read post]
19 Jun 2017, 11:36 am
From March 2009 until October 2010, Hebner was registered with RBC Capital Markets Corporation. [read post]
30 Mar 2017, 9:44 am
International Norm Structures; Hard Law • Basic structures • Hard vs soft law • Domestic versus international • Public versus private • Operation • Disclosure versus substantive structures • Link between social norms, markets, international law and national law • Hard law—none • New comprehensive Business and Human Rights Treaty? [read post]
31 Jan 2017, 12:06 pm
.; RBC Capital Markets Corporation; Salomon Smith Barney Inc.; Lehman Brothers Corp.; Merrill Lynch, Pierce, Fenner & Smith Inc., Sussex Securities Incorporated; Lehman Brothers Incorporated. [read post]
28 Oct 2016, 1:00 am
Overcoming Selection Bias Posted by Alexander Vedrashko, Simon Fraser University, on Sunday, October 23, 2016 Tags: Behavioral finance, Capital markets, Dividends, Earnings announcements, Earnings disclosure, Firm performance,Information environment, Market efficiency, Market reaction, Market timing, Merger announcements, Repurchases Can Business Help Fix Our Broken Politics? [read post]
24 Oct 2016, 1:01 am
From this perspective, the outcome in RBC Capital Markets stems from the application of settled law, not doctrinal innovation. [read post]
31 Aug 2016, 8:34 am
The Securities and Exchange Commission today announced that RBC Capital Markets LLC has agreed to a $2.5 million settlement for causing materially false and misleading disclosures about its valuation analysis in a proxy statement for Rural/Metro Corporation’s sale in 2011 to a private equity firm. [read post]
23 Jun 2016, 2:25 pm
PLTP’s financing plan included: Negotiating an $874.6 million Transportation Infrastructure Finance and Innovation Act (TIFIA) loan, which closed June 14; Securing approximately $313 million in Private Activity Bonds (PABs), issued through the Maryland Economic Development Corporation and underwritten by JP Morgan and RBC Capital Markets, on June 17; Harnessing $138 million in private equity from PLTP’s members; and Utilizing approximately $900 million… [read post]
23 Jun 2016, 2:25 pm
PLTP’s financing plan included: Negotiating an $874.6 million Transportation Infrastructure Finance and Innovation Act (TIFIA) loan, which closed June 14; Securing approximately $313 million in Private Activity Bonds (PABs), issued through the Maryland Economic Development Corporation and underwritten by JP Morgan and RBC Capital Markets, on June 17; Harnessing $138 million in private equity from PLTP’s members; and Utilizing approximately $900 million… [read post]
29 Jan 2016, 9:01 am
Tortoise funds were said to have been marketed to investors and sold by financial advisors at brokerages such as Mid Atlantic Capital Corp, Morgan Stanley, Pershing FundCenter, Shareholders Services Group, JPMorgan, Fidelity Institutional, FundsNetwork, MSSB Retail Fund, Raymond James, CommonWealth Universe, RBC Wealth Management, Mid Atlantic Capital Group, MSWM Brokerage, and Securities America Inc. [read post]
18 Jan 2016, 4:00 am
Boylan was the vice president of RBC Capital Markets. [read post]
9 Dec 2015, 1:02 pm
See RBC Capital Mkts., LLC v. [read post]
4 Dec 2015, 5:58 am
The Delaware Supreme Court has issued its much anticipated opinion in RBC Capital Markets v. [read post]
12 Aug 2015, 9:08 am
– $500,000 RBC Capital Markets, LLC – $500,000 Robert W. [read post]
8 Jul 2015, 4:47 am
Prior to commencing employment at PKS, Phillips worked for RBC Capital Markets Corporation in Woodland Hills, California. [read post]
25 Jun 2015, 1:29 pm
Ziegler and Company Benchmark Securities Bernardi Securities BMO Capital Markets GKST BNY Mellon Capital Markets BOSC Central States Capital Markets Citigroup Global Markets City Securities Corporation Davenport & Company Dougherty & Co First National Capital Markets George K. [read post]
28 Feb 2015, 3:52 pm
In a case of first impression, Vice Chancellor Laster issued an opinion in October 2014 holding that the Delaware Uniform Contribution Among Tortfeasors Act (“DUCATA”) did not bar RBC Capital Markets LLC from collecting a settlement credit, even though other defendants in the Rural/Metro Corp. shareholder litigation settled with plaintiffs. [read post]
31 Jan 2015, 7:39 pm
The Court of Chancery found RBC Capital Markets LLC liable for aiding and abetting the breach of fiduciary duties of directors by advising simultaneously Rural/Metro Corp. on the value of the company in connection with a sale to Warburg Pincus LLC, while other bankers at RBC were pitching their services to Warburg in an effort to gain fees by helping Warburg finance the same deal. [read post]
