Search for: "SECURITIES CORP."
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2 Aug 2022, 6:56 am
Franklin BSP Lending Corp. [read post]
13 Jun 2012, 7:15 am
Corp Fin Permits Notice and Access in Certain M&A Transactions Here's e-proxy news from this Gibson Dunn blog: The Division of Corporation Finance of the Securities and Exchange Commission recently issued a letter that for the first time granted no-action relief for the use of notice and access for a proxy statement in a M&A transaction. [read post]
23 Jan 2017, 3:50 am
On Friday, retired Marine Corps General John F. [read post]
14 Jan 2019, 3:03 am
Corp Fin has now updated its FAQs to revise #4 and 5 – and to add #6 and 9. [read post]
7 Feb 2018, 11:12 am
Silver Law Group is investigating former Legend Equities Corp. [read post]
4 Dec 2018, 8:29 am
Noel Carino – General Securities Corp. [read post]
2 Mar 2012, 1:23 pm
Brooks, the former CEO of Brookstreet Securities Corp., to pay a $10 million penalty in a securities fraud case related to the financial crisis. [read post]
24 Mar 2005, 12:21 pm
[JURIST] Leading Thursday's corporations and securities law news, Adelphia Communications Corp. [read post]
29 Mar 2005, 4:11 pm
[JURIST] Leading Tuesday's corporations and securities law news, the Wall Street Journal is reporting [subscription req'd] that regulators have called Warren Buffett [Wikipedia profile] to answer questions next month about his involvement in the insurance transaction between General Re Corp. [read post]
14 Sep 2004, 10:02 am
In Tuesday's corporations and securities law news, Charles Schwab Corp. has agreed to pay a fine of $350,000 to the SEC relating to the processing of mutual fund orders after the 4 PM ET market close. [read post]
18 Nov 2004, 3:03 pm
[JURIST] In Thursday's corporations and securities law news, Enron Corp. has closed the $2 billion sale of its interest in three natural gas pipelines to CCE Holdings LLC, a joint venture of Southern Union Co. and GE Commercial Finance Energy Financial Services. [read post]
1 Dec 2004, 5:57 am
In other news, the SEC has subpoenaed The Chubb Corp. for information regarding loss-mitigation insurance products. [read post]
20 Apr 2005, 12:41 pm
[JURIST] Leading Wednesday's corporations and securities law news, KPMG LLP [corporate website], the US unit of accounting firm KPMG International [corporate website], has agreed to pay $22.5 million to settle with the SEC [official website] over charges that it allowed Xerox Corp. [read post]
25 Apr 2005, 12:29 pm
[corporate website], Chubb Corp., Swiss Re AG [corporate website], Berkshire Hathaway Inc.'s unit National Indemnity Company of the South and [read post]
9 Feb 2005, 5:28 am
[JURIST] Leading Wednesday's corporations and securities law news, the SEC has announced that three Bank of America Corp. [read post]
18 Oct 2004, 10:03 am
In Monday's corporations and securities law news, the SEC is reportedly investigating pension records at six big companies, including Delphi Corp. [read post]
1 Oct 2015, 7:46 am
Morgan Securities LLC, Chase Investment Securities Corp., Wachovia Securities, Morgan Stanley DW, Inc., Prudential Securities, Inc. and Whale Securities Co., L.P., according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
24 Jun 2007, 5:36 pm
NEWS.COM Special Report: Wardens of the WebTalkBack: Global security challenge falls to an elite corps, June 25, 2007 "The job... [read post]
4 Jun 2012, 6:18 pm
(OPTZ), Sure Trace Security Corp. [read post]
16 Nov 2009, 5:40 pm
Sokol ("Sokol"), charging them with securities fraud and other violations of the federal securities laws.... [read post]
