Search for: "Matter of Financial Corp."
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13 Sep 2012, 6:00 am
MetLife CEO Steven Kandarian said on an August 2 conference “We do not believe regulated insurance activities pose systematic risk to the U.S. financial system… In the event that certain insurance companies are named [systematically important financial institutions], the impact is a matter of public debate. [read post]
19 Jan 2007, 7:07 am
Calpine Corp. says that it is looking for new equity investors to help finance its exit from Chapter 11 Bankruptcy. [read post]
11 Nov 2017, 9:04 am
Giacalone is currently registered with Aegis Capital Corp. [read post]
5 Sep 2019, 10:36 am
Court of Appeals for the Third Circuit in the Pennsylvania Attorney General’s lawsuit against Navient Corp. [read post]
20 Jun 2017, 8:49 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Craig Sutherland (Sutherland) currently associated with Money Concepts Capital Corp (Money Concepts). [read post]
28 Aug 2023, 1:01 pm
SLM Corp. alleged Navient violated their legal rights by continuing efforts to collect on debts that were discharged in bankruptcy. [read post]
12 Nov 2009, 2:36 pm
The bloggers suggest what the financial guru’s $34 billion investment implies for coal and cap-and-trade legislation. [read post]
29 Aug 2011, 9:52 am
Regions Financial Corp., CA-2, 10-2311, Aug. 23, 2011). [read post]
11 Oct 2018, 5:03 pm
The Financial Industry Regulatory Authority barred Schmidt in March. [read post]
21 Nov 2009, 8:52 am
Fluor Corp. that no private right of action exists for a violation of the NYSE Listed Company Manual’s disclosure rules. [read post]
14 May 2018, 2:43 am
It was originally drafted to be an internal resource for Corp Fin. [read post]
15 Apr 2011, 6:55 am
—and UBS, according to people familiar with the matter. [read post]
18 Nov 2009, 1:07 am
The absence of new securities suits against financially related companies is quite a contrast to the lawsuits that were being filed a year ago, and for that matter that were being filed in the first few months of 2009. [read post]
17 Aug 2022, 6:12 am
Mark Pohl of Pharmaceutical Patent Attorneys LLC can’t represent HP Ingredients Corp. in its infringement litigation against Sabinsa Corp. over the name for a competing anti-inflammation extract. [read post]
17 Jul 2018, 9:33 am
’s confidential plans to acquire The Valspar Corp., which he learned of through his work. [read post]
1 May 2009, 8:25 am
Let’s get you caught up quickly: Graham Gets Sentenced: The former assistant general counsel of General Re Corp., Robert Graham, was sentenced on Thursday to one year and one day of federal prison in a financial fraud case. [read post]
8 Oct 2014, 1:27 pm
Sattva Capital Corp v. [read post]
4 Jun 2020, 10:31 am
Bank of America to pay $7.23 million in Restitution to Clients FINRA Sanctions Bank of America for Overcharging Customers on Mutual Funds According to the Financial Industry Regulatory Authority (FINRA) this week, Bank of America Corp. agreed to pay $7.23 million in restitution and interest to settle the regulator’s allegations that it overcharged customers on mutual funds. [read post]
18 Oct 2015, 6:43 am
In addition to disclosing client disputes brokers must divulge IRS tax liens, judgments, and criminal matters. [read post]
13 Jun 2019, 5:49 am
So, if your financial advisor wants to sell you a promissory note, or a loan agreement, or a “memorandum of indebtedness”, it does not really matter what they call it, functionally its the same: its a promissory note. [read post]
