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30 Nov 2007, 9:00 am
Langevoort, Professor, Georgetown University Law Center Richard Rosenzweig, Managing Director, Natsource Earlier this fall, a coalition of majorinstitutional investors, asset management firms, the New York AttorneyGeneral, Environmental Defense and Cerespetitioned the Securities and Exchange Commission to issue guidance onthe obligations of public companies to disclose financial risks theyface from climate change and greenhouse gas regulations. [read post]
18 Mar 2021, 3:00 am
Yesterday, the SEC released the agenda for tomorrow’s meeting of its Asset Management Advisory Committee. [read post]
26 Jun 2012, 3:08 pm
Zusy, had previously worked for Lehman affiliate Structured Asset Securities Corp. [read post]
5 Nov 2017, 12:00 am
In In re Eaton Corp. [read post]
6 Feb 2018, 12:00 am
In ExxonMobil Corporation, 2017 BL 76009 (March 7, 2017), ExxonMobil Corp. [read post]
29 Sep 2020, 3:00 am
Non-GAAP financial measures 2. [read post]
20 Sep 2008, 2:13 pm
Tarragon Corp., 2008 WL 427969 (M.D. [read post]
10 Sep 2019, 1:56 pm
From September 2010 to July 2017, Arteca was registered with Ameritas Investment Corp. [read post]
12 Apr 2019, 12:41 pm
Laws – Santa Fe Gold Corp. [read post]
26 Jul 2010, 11:36 am
This action will provide issuers, rating agencies and other market participants with a transition period in order to implement changes to comply with the new statutory requirement while still conducting registered ABS offerings.The Securities Industry and Financial Markets Association (SIFMA) applauded the SEC for its timely recognition of the unintended effect that the interaction of Section 939G with Regulation AB has had on the public asset-backed securities… [read post]
4 Apr 2011, 9:02 am
$44,000 Courtlandt Financial Group Inc., securities offered through Courtlandt Securities Corp [read post]
20 Feb 2015, 3:19 pm
According to Jason Muskey’s BrokerCheck Report he worked in Pennsylvania with MetLife Securities from 01/2003 – 12/2005, Carillon Investments from 01/2006 – 06/2006, and most recently with Ameritas Investment Corp from 06/2006 – 06/2014. [read post]
29 Jan 2011, 5:18 pm
Some companies, including Apple Inc. and Microsoft Corp, have already adopted say-on-pay proposals on their own. [read post]
17 Dec 2009, 6:36 am
As reported Dec. 10 by the Wall Street Journal, the Medical Capital case has produced a slew of investor claims against smaller brokerages that sold Medical Capital private placements, including Securities America, Capital Financial Services and QA3 Financial Corp. [read post]
16 Dec 2010, 8:46 am
$44,000 Courtlandt Financial Group Inc., securities offered through Courtlandt Securities Corp [read post]
5 Apr 2009, 1:26 pm
With the stock market in freefall, the Treasury Department proposed a $700 billion “Troubled Asset Relief Program” (”TARP”) to buy toxic assets from the nation’s banks in order to shore up their balance sheets and restore confidence to the financial system. [read post]
27 Jul 2020, 10:11 am
Exxon Mobil Corp. in which the state alleges that Exxon Mobil deceived investors. [read post]
1 Jun 2020, 5:01 am
He was previously an employee of Greentree Securities Corp. for less than a year soon after passing his Series 63 Arizona broker exam in August of 1988. [read post]
1 Jun 2020, 5:01 am
He was previously an employee of Greentree Securities Corp. for less than a year soon after passing his Series 63 Arizona broker exam in August of 1988. [read post]
9 Mar 2023, 12:55 pm
As discussed here, in August 2022, investors in FAST Acquisition Company, a SPAC that had announced its plans to liquidate, filed a pre-liquidation lawsuit against the SPAC, its sponsors, and its directors and officers, disputing the way that the SPAC’s directors and officers intended to deal with a financial asset of the SPAC in connection with the liquidation (the financial asset in question in the FAST case was a termination fee associated with a… [read post]
