Search for: "SECURITIES CORP."
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15 Nov 2008, 8:10 pm
If Cape Wind secures the remaining permits and the almost inevitable legal challenge, the company will get to build its 130-turbine wind farm in Nantucket Sound. [read post]
28 Jul 2020, 7:44 am
FSKR, the publicly-traded BDC called FS KKR Capital Corp. [read post]
22 Mar 2023, 7:10 pm
The plaintiff contends that the RIA allegedly unsuitably recommended that he invest his savings in annuities from Western Bankers Life Insurance, which is a Bankers Financial Corp. subsidiary, Colorado Bankers Life Insurance, and Upstream Life Insurance Company. [read post]
10 Dec 2010, 3:00 am
Rule 260.105.5 answers the question by exempting from the issuer qualification requirement (Corp. [read post]
12 Sep 2008, 3:05 pm
NEW YORK (Thomson Financial) - Trading in shares of UAL Corp. was halted Monday morning on reports that the company was filing for bankruptcy. [read post]
18 Jul 2014, 11:24 am
The Securities and Exchange Commission has suspended trading in Cynk Technology Corp., a supposed social network that caught attention with a skyrocketing stock price, even though it had no members and no assets. [read post]
24 Feb 2009, 9:04 am
District Court for the SDNY ruled that a putative class action against Moody's Corp. can go forward. [read post]
20 Nov 2015, 11:36 am
The lawsuits were consolidated into one class action (In re Target Corp. [read post]
12 Jun 2018, 12:39 pm
Eckstein, along with another broker, Kevin Brody, were involved with Conmac Funding Corp, a scheme run by the two individuals out of Hicksville, New York. [read post]
17 Jun 2011, 11:07 am
Tomassi Law Associates, LLC www.attorney-ri.com 1-888-RI-LAWLINE(EMAILWIRE.COM, June 10, 2011 ) NEW YORK, NY – MGIC Investment Corp. [read post]
19 May 2008, 11:19 am
Biovail Corp., Canada’s largest publicly traded drugmaker, announced that it has settled with the United States Department of Justice (DOJ) regarding criminal allegations related to activities surrounding the 2003 commercial launch of Cardizem LA. [read post]
19 Oct 2023, 3:30 am
Late last month, the Court granted cert in Macquarie Infrastructure Corp. v. [read post]
27 Aug 2007, 6:25 am
Tenants Corp. [read post]
23 Apr 2010, 1:20 pm
Intelligence metric: These are the folks who help Homeland Security profile Oath Keepers and Citizens! [read post]
10 Jan 2023, 12:08 pm
From today's WSJ: Former McDonald’s Corp. [read post]
26 Nov 2019, 7:44 am
According to FINRA Disciplinary actions for November 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Ajayi, Emmanuel JP Morgan Securites LLC HSBC Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage Services … [read post]
20 May 2020, 2:25 pm
Fagenson, David Newbridge Securities Corp UBS Financial Services Inc. [read post]
17 Jan 2018, 6:23 am
LLC from 1998 to 2012, Aegis Capital Corp. from 2012 to 2016, and National Securities Corporation from 2016 to 2017. [read post]
6 Feb 2020, 5:28 am
Management & Training Corp. dba MTC, February 4, 2020, Moritz, N.). [read post]
4 Jan 2007, 4:48 pm
Brown pleads guilty to securities fraud, conspiracy to commit securities fraud and bank fraud in a deal to testify against Rigas family members. [read post]
