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8 Aug 2023, 9:31 am
Separately, the Commodity Futures Trading Commission announced settlements with Wells Fargo Bank NA, Wells Fargo Securities, LLC, BNP Paribas Securities Corp., BNP Paribas S.A., SG Americas Securities, LLC, Société Générale S.A., Bank of Montreal, and Wedbush Securities Inc., for related conduct. [read post]
26 Jan 2016, 6:05 am
Lazarescu was registered with MetLife, Chemical Investment Services Corp., Citicorp Investment Services, and Chase Investment Services Corp. [read post]
15 Oct 2014, 2:30 pm
Rural, In re El Paso Corp. [read post]
8 Aug 2012, 12:19 pm
., Motorola Inc. and Sears Holding Corp. [read post]
23 Jun 2009, 2:20 pm
Terex Corp., C.A. [read post]
22 Mar 2007, 7:33 am
If the records aren't claimed, Norwich Public School District, the largest K-8 public district in Connecticut, must destroy the records securely. [read post]
10 Jul 2015, 6:00 am
Ramtron Int’l Corp., Slip. [read post]
28 Feb 2010, 10:50 am
In a January 2010 Alert, we mentioned the Foreign Corrupt Practices Act (FCPA) indictment of John Warwick of Ports Engineering Consultants Corp. [read post]
30 Nov 2007, 9:00 am
Ewing, Partner, Bracewell & Giuliani Julie Gorte, Senior Vice President for Sustainable Investing, Pax World Management Corp. [read post]
29 Aug 2010, 5:52 pm
The SEC alleges that the two traders - Juan Jose Fernandez Garcia and Luis Martin Caro Sanchez - violated Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder. [read post]
15 Jan 2009, 7:20 pm
``U.S. trade representatives failed to secure fair trade conditions related to automobiles, trucks and other products. [read post]
8 Sep 2008, 11:14 pm
From Reuters (via Yahoo):A nearly 6-year-old news story on the 2002 bankruptcy filing of UAL Corp (UAUA.O) resurfaced on the Internet on Monday, clobbering the airline's shares briefly as some traders mistook the report as current and plausible news. . . . [read post]
9 May 2016, 10:55 am
(together, “Moody’s”) knowingly provided false ratings on certain Residential Mortgage-Backed Securities purchased by FHLBB. [read post]
31 Jan 2007, 12:25 pm
Leon, a job applicant sued the Kings County Hospital Center, (NYC Health & Hospitals Corp.), and others, alleging that he been wrongfully denied employment on the basis of two drug-screening tests, which the applicant had failed. [read post]
31 Aug 2012, 12:24 pm
Corp., No. 11-1400, 2012 WL 3671009 (D.D.C. [read post]
2 Dec 2011, 7:52 am
The comment letter process allows the Commission staff to express concerns to issuers regarding their disclosures, and allows issuers to revise their disclosures to better comply with the securities laws and regulations. [read post]
11 Jun 2007, 5:56 pm
Harland Co., and TXU Corp. [read post]
3 Aug 2009, 2:58 pm
LLC, National Securities Corp., Next Financial Group Inc. and Securities America Inc. [read post]
28 Aug 2018, 2:54 pm
Earlier this summer, National Beverage Corp. was hit with a securities suit following allegations that its CEO had sexually harassed company employees (as discussed here). [read post]
30 May 2019, 6:35 am
According to his broker check report, Bastardi was affiliated with Securities America in Warwick, New York from June 2014 to March 2016, and then went to National Securities Corp. [read post]
