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12 Jan 2023, 3:54 pm
The remainder was to go to the Vasallo TV Group, LLC—a company owned by Carlos Vasallo. [read post]
10 Mar 2020, 6:30 am
Author Michael Stack, CEO Amaxx LLC. [read post]
22 Nov 2010, 10:05 am
Finally, OCIE is working with the SEC’s Division of Risk, Strategy, and Financial Innovation and the Division of Investment Management to develop an exam program for hedge funds, which is to be in place by July 2011. [read post]
17 Jul 2020, 9:26 am
(The Coronavirus Aid, Relief, and Economic Security Act, enacted on March 29, 2020, was designed to provide emergency financial assistance to Americans negatively financially impacted by the pandemic.) [read post]
9 Jul 2020, 6:15 am
The FHFA acts as conservator to Fannie Mae and Freddie Mac, which provide funds to the mortgage lending industry by buying home loans from private lenders and then bundling the mortgages into securities and guaranteeing them. [read post]
8 Sep 2016, 7:40 am
__________ ToNorges Bank5 April 2016Recommendation to exclude Duke Energy Corp., Duke Energy Carolinas LLC, Duke Energy Progress LLC and Progress Energy Inc. from the Government Pension Fund Global (GPFG) Confidential pursuant to section 13 subsection 1 of the Freedom of Information Act, cf section 3-4 subsection 1 of the Securities Trading Act.Summary The Council on Ethics for the Government Pension Fund Global recommends the exclusion… [read post]
12 Feb 2018, 3:02 pm
The ICO bubble could burst any minute, which may destroy the wealth of some, but will also better secure the financial future of all. [read post]
7 Jan 2022, 2:20 pm
READ MORE: CFTC Whistleblower Program SEC Whistleblower Program Accounting Fraud Fraud Regulated by the CFTC Cryptocurrency Fraud Misrepresentations in Sales of Securities and Commodities A company about nothing: SPACs and fraud Money Laundering and Related Financial Institution Wrongdoing I Might Have a Whistleblower Case W [read post]
7 Jan 2022, 2:20 pm
Interactive Brokers LLC – In a more traditional CFTC action, the brokerage firm Interactive Brokers LLC agreed to pay $84.3 million in penalties and restitution for its alleged mishandling of consumer accounts. [read post]
3 Jul 2020, 6:43 am
SECURITY AND TRUSTS / AGENCY Trusts and parallel debt structures are not recognised or tested in Italy and lenders must generally hold security. [read post]
25 Mar 2024, 3:00 am
IMAGE: The flow of funds in Trump’s Hush Money Pay Off Scheme (Credit: Pooja Shah, Just Security). [read post]
1 Nov 2021, 8:59 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
5 Dec 2022, 7:43 am
From this fundraising, Rogas collected $17.5 million of investor funds for himself. [read post]
7 Jul 2015, 12:00 pm
On June 26, 2015, in Spring Hill Capital Partners LLC v. [read post]
25 Oct 2022, 10:46 am
Chicago Crypto Capital LLC et al In the Northern District of Illinois, the SEC has brought a civil action against Chicago Crypto Capital LLC (“Chicago Crypto”), its president and sole owner Brian B. [read post]
26 Feb 2024, 12:30 pm
The lawsuit named not only SPAC directors and officers but also the financial advisor involved with the deal, Chardan Capital Markets, LLC. [read post]
20 Oct 2020, 5:17 am
From June 2014 until November 2015, he was registered with Rockwell Global Capital LLC until he joined his last employer, Salomon Whitney Financial in December of 2015 until February 2017 when he was barred by FINRA, according to his Brokercheck page. [read post]
20 Oct 2020, 5:17 am
From June 2014 until November 2015, he was registered with Rockwell Global Capital LLC until he joined his last employer, Salomon Whitney Financial in December of 2015 until February 2017 when he was barred by FINRA, according to his Brokercheck page. [read post]
21 Aug 2020, 6:06 am
Ellerman, Pay Governance LLC, on Sunday, August 16, 2020 Tags: Boards of Directors, Compensation committees, Executive Compensation, Firm performance, Incentives, Long-Term value, Management, Performance measures Update on Special Purpose Acquisition Companies Posted by Ramey Layne, Brenda Lenahan and Sarah Morgan, Vinson & Elkins LLP, on Monday, August 17, 2020 Tags: Acquisition agreements, Acquisitions, Capital… [read post]
2 Mar 2014, 8:21 am
Code § 552(b)(4)), expressly exempts from disclosure to third parties information submitted to Executive Branch departments and agencies that are "trade secrets and commercial or financial information obtained from a person and privileged or confidential [information]. [read post]
