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25 Apr 2012, 11:12 am
Andy Mueller, senior adviser for defense and homeland security programs, and Nicole Elam, director of federal affairs, are also listed on the filing. [read post]
21 Jan 2012, 5:38 pm
Businessweek, the Wall Street Journal and others reported yesterday that Maple Group Acquisition Corp., composed of 13 Canadian financial institutions, will once again extend its Cdn. $3.73 billion mixed cash and shares offer for the TMX Group beyond the previous January 31st deadline if regulatory approvals are not received. [read post]
7 Mar 2013, 4:11 am
FINRA Plans to Revise QIB Standards on Debt Securities As noted in this memo, FINRA has proposed changing the markup rule so that it applies to QIBs [read post]
31 Oct 2010, 4:10 am
., Ocala-based Taylor Bean & Whitaker Mortgage Corp. has asked a Jacksonville bankruptcy court to allow it to walk away from 37 properties it says are worth little to avoid tax and upkeep expenses. [read post]
7 Feb 2022, 10:55 am
News Corp’s cybersecurity consultant reported that the attack was likely executed to gather intelligence to benefit China’s interests. [read post]
24 Dec 2019, 7:38 am
According to FINRA Disciplinary actions for December 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Amparo, Nelson Citizens Securities, Inc Santander Securities LLC Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Brown, Andrew Worden Capital Management LLC … [read post]
14 Nov 2016, 6:57 am
The security company was hired to make sure the site was safe. [read post]
14 Nov 2016, 6:57 am
The security company was hired to make sure the site was safe. [read post]
19 Jul 2016, 11:48 am
Corp. v. [read post]
19 Jul 2016, 11:48 am
Corp. v. [read post]
17 Oct 2019, 10:29 am
From August 2013 until September 2016 Hobson was associated with Investors Capital Corp. [read post]
28 Feb 2019, 8:29 am
Even before Schwartz was a registered representative with Aegis Capital Corp for three years in June 2013, he procured a seemingly shady record that should have raised many flags. [read post]
31 May 2019, 3:00 am
I know the connection with securities law is pretty tenuous, but hey, it’s Friday. [read post]
16 Oct 2009, 2:52 am
Mazda Motor Corp., 123 F.3d 1353 (11th Cir. 1997). [read post]
13 Sep 2021, 12:39 pm
(CRD#:16361), DALLAS, TX 08/22/2006 – 08/06/2007, 1ST GLOBAL CAPITAL CORP. [read post]
5 Mar 2018, 8:21 am
Murray was a Peace Corps Volunteer, worked with US-AID in Thailand. [read post]
3 Apr 2024, 9:05 pm
Comcast Corp. v. [read post]
31 Oct 2008, 7:49 am
Bank of America Corp on Wednesday sued Bear Stearns and two former hedge fund managers who were indicted in June in the first major federal case stemming from the subprime mortgage crisis. [read post]
27 May 2015, 11:45 am
” According to SEC records, Inland American has undergone a name change – the REIT is now called InvenTrust Properties Corp. [read post]
26 Nov 2012, 6:29 pm
Susan Axelrod's Remarks at SIFMA Complex Products Forum, FINRA, September 27, 2012 SEC Chairman Schapiro's Remarks at 2012 New England Securities Conference, SEC, October 11, 2012 Since 2011 About 800 Defendants Have been Charged Investor Fraud Schemes, LoanSafe.org, October 1, 2012 More Blog Posts:SEC Clawback Lawsuit Against Two Former Arthrocare Corp. [read post]
