Search for: "CAPITAL ONE FINANCIAL CORP."
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15 Jul 2021, 6:43 pm
One deals here not merely with business risk but now with legal risk as well; and that risk is now extended down the supply chain. [read post]
15 Jul 2021, 2:54 pm
”[14] Engulfed by rapidly evolving capital markets, an investor may press “buy” on a stock- trading mobile application with real-time alerts that are entirely unrelated to anything particularly specific to perfunctory and bland corporate statements made by the target company. [read post]
15 Jul 2021, 7:47 am
The post Douglas Szempruch, Aegis Capital Corp. [read post]
14 Jul 2021, 2:23 pm
Background Stable Road Acquisition Corp. [read post]
13 Jul 2021, 5:30 am
Congress does actually attempt to legislate for the safety and well-being of U.S. citizens in their efforts to ensure we have safe food and pharmaceuticals, and trustworthy capital markets, among many ot [read post]
12 Jul 2021, 2:26 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended former Aegis Capital Corp. financial advisor Douglas Szempruch from the securities industry for 12 months. [read post]
12 Jul 2021, 2:13 am
Greensill Capital, a U.K. [read post]
9 Jul 2021, 10:29 am
Parikh, formerly of Aegis Capital Corp. [read post]
7 Jul 2021, 1:06 pm
Dustin Shafer (Dustin Paul Shafer CRD# 34198962) is a former registered broker and investment advisor who was registered most recently with Newbridge Securities Corporation from 2019-2020, but spent the previous decade of his career with Money Concepts Capital Corp in Springfield, Illinois. [read post]
3 Jul 2021, 4:37 am
(Investee)Capital Southwest Corporation in Recapitalization (Investor) 2-Jul-19QDiscoveryXact Data Discovery 19-Jun-19Text IQ (Investee)FirstMark Capital with Sierra Ventures (Investors)$12,600,000 17-Jun-19Elevate (Investee)Kayne Partners (Investor)$25,000,000 17-Jun-19Cellebrite (Investee)Israel Growth Partners (IGP) $110,000,000 12-Jun-19Infinnium (Investee)Sahajanand Group (Investor) 11-Jun-19Jordan LawrenceExterro 5-Jun-19Mindseye SolutionsReveal 3-Jun-19Onna (Investee)Series… [read post]
23 Jun 2021, 8:12 am
As for Venezuela, U.S. sanctions against the Maduro regime largely target Venezuela’s financial sector, state-owned oil company Petroleos de Venezuela, S.A. and entities related to terrorism and drug trafficking. [read post]
18 Jun 2021, 8:16 am
UK Regulator to Probe NCR Corp. [read post]
18 Jun 2021, 4:00 am
Trump’s FDA Commissioner Takes Job at Moderna Backer MSN – Dan Diamond (Washington Post) | Published: 6/14/2021 Former FDA Commissioner Stephen Hahn is joining the venture capital firm that launched Moderna and remains closely tied to the coronavirus vaccine maker. [read post]
18 Jun 2021, 3:04 am
Co., 21 NY3d 324, 334 [2013], quoting AG Capital Funding Partners, L.P. v State St. [read post]
14 Jun 2021, 9:59 am
David Berger, commandant of the Marine Corps. [read post]
31 May 2021, 11:24 am
Background Social Capital Hedosophia Holdings Corp. [read post]
30 May 2021, 1:44 am
In October 2017, the Florida Office of Financial Regulation issued a Final Order, reportedly denying Thurnherr’s application for registration as an associated person of Spartan Capital Securities, LLC, after he allegedly failed to request a hearing. [read post]
30 May 2021, 1:44 am
In October 2017, the Florida Office of Financial Regulation issued a Final Order, reportedly denying Thurnherr’s application for registration as an associated person of Spartan Capital Securities, LLC, after he allegedly failed to request a hearing. [read post]
17 May 2021, 4:37 pm
While the discourse of capitalism is one of freedom, the reality is that the capitalist system puts all sort of limits on that freedom in order to survive and function. [read post]
17 May 2021, 3:00 am
Speaking before the SEC’s 8th Annual Conference on Financial Market Regulation, SEC Chair Gary Gensler reportedly stated that the Staff was working on a new rule addressing disclosure of human capital metrics. [read post]
