Search for: "RBS Securities, Inc."
Results 21 - 40
of 66
Sort by Relevance
|
Sort by Date
29 Feb 2016, 4:43 pm
Nomura Holding Am., Inc., 104 F. [read post]
8 Sep 2015, 6:48 am
RBS Securities Inc., August 28, 2015).FIRREA Extender Statute. [read post]
31 Aug 2015, 1:16 pm
On August 21, 2015, a three-judge panel of the United States Court of Appeals for the Seventh Circuit reversed a Wisconsin federal judge’s ruling granting summary judgment to RBS Securities Inc. [read post]
12 Aug 2015, 2:29 pm
”Today’s CFPB action is against Citizens Bank, N.A., formerly known as RBS Citizens Bank, N.A.; Citizens Financial Group, Inc., formerly known as RBS Citizens Financial Group, Inc.; and Citizens Bank of Pennsylvania. [read post]
25 Apr 2015, 6:24 am
Katke was registered with RBS Securities, Inc. [read post]
2 Apr 2015, 1:14 pm
Before being registered with RBS, Katke was with Bear, Stearns & Co., Inc. in New York, New York. [read post]
20 Mar 2015, 1:45 pm
July 18, 2011) On March 16, 2015, Judge George Wu of the United States District Court for the Central District of California denied RBS Securities Inc. [read post]
12 Mar 2015, 12:33 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:Matthew Katke, a former registered broker and managing director at RBS Securities Inc., pleaded guilty to participating in a multimillion dollar securities fraud scheme between April 2008 and August 2013.According to FINRA, Katke and other members of RBS’s Asset Backed Products division traded fixed income investment securities, such as residential mortgage-backed securities… [read post]
6 Feb 2015, 7:22 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned brokerage firm WFG Investments, Inc. [read post]
21 Aug 2014, 7:00 am
RBS Sec. [read post]
28 Jul 2014, 12:01 pm
On July 23, Judge William Conley of the Western District of Wisconsin granted in part and denied in part RBS Securities Inc. [read post]
7 Jul 2014, 6:14 am
RBS Securities, Inc. [read post]
30 Jun 2014, 9:15 am
RBS Securities, Inc. [read post]
23 Jun 2014, 10:45 am
On June 19, the Federal Housing Finance Agency (FHFA) and RBS Securities Inc. [read post]
2 Feb 2014, 10:06 pm
US Airways, Inc. v. [read post]
15 Jan 2014, 12:11 am
The banks that have been identified or made announcements regarding Forex regulatory investigations to date include: Barclays, Citigroup, Inc., Credit Suisse AG, Deutsche Bank, Goldman Sachs Group, HSBC, JP Morgan Chase & Co., Morgan Stanley, Royal Bank of Scotland, Standard Chartered and UBS. [read post]
2 Jan 2014, 9:15 am
RBS Securities Inc.Case number: 13-cv-01643 (United States District Court for the District of Connecticut)Case filed: November 7, 2013Qualifying judgment/order: November 25, 2013 12/20/2013 03/20/2014 2013-115 SEC v. [read post]
14 Nov 2013, 10:15 am
On November 7, 2013, the Securities and Exchange Commission (SEC) today charged RBS Securities Inc., a subsidiary of the Royal Bank of Scotland plc, with misleading investors in a 2007 subprime residential mortgage-backed security (RMBS) offering. [read post]
12 Nov 2012, 12:19 am
Unfortunately, the plaintiffs’ may continue to pursue post-close merger cases as a way to try to extract something from the merger, even if they are unable to secure a pre-close settlement, simply because the likeliest outcome is that they will eventually get rewarded for doing so. [read post]
1 Aug 2012, 5:51 am
Gibbs, President of the Municipal Securities Group, Jefferies & Company, Inc. [read post]
