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29 Sep 2020, 7:12 am
Rich, Intelisano & Katz, LLP (RIK) filed a $3 million FINRA arbitration this month on behalf of clients that invested in UBS Financial Services, Inc. [read post]
27 Apr 2017, 11:55 am
There has been a revival of “the fundamentals of valuation and critical due diligence for mergers & acquisitions (M&A), capital markets, and investment opportunities” post mortgage crisis and credit crunch.[1] There are varying valuations theories, which are used in different scenarios. [read post]
27 Nov 2017, 10:05 pm
GWG Holdings, Inc. [read post]
31 Mar 2020, 6:40 am
VelocityShares 3x Inverse Crude Oil ETN is an exchange-traded note issued by Citigroup Global Markets Holdings Inc. and guaranteed by Citigroup Inc. [read post]
18 Aug 2017, 6:00 am
I needed to earn some continuing education credits for the my IACCP designation. [read post]
18 Aug 2017, 6:00 am
I needed to earn some continuing education credits for the my IACCP designation. [read post]
1 Jan 2015, 5:48 am
The notes at issue are part of offerings by GWG Holdings, Inc. [read post]
15 Feb 2019, 8:12 am
May served as president and chief compliance officer of Executive Compensation Planners Inc., an investment advisory firm registered in New York. [read post]
29 Jun 2011, 7:32 am
Global thereafter used Diversified Investment Group, Inc. [read post]
29 Jun 2011, 7:32 am
Global thereafter used Diversified Investment Group, Inc. [read post]
30 Sep 2012, 8:18 am
According to prosecutors, between April 23, 2012, and September 25, 2012, Hill is alleged to have opened three lines of credit with the medical equipment financing company, TCF Equipment Finance Inc. [read post]
16 Aug 2011, 10:05 pm
Citigroup Inc.'s (C.N) Citibank is the plaintiff of the securities lawsuit over the Capmark VI CDO and STACK 2006-1 CDO deals, while there are 15 plaintiffs seeking punitive damages over Cheyne Finance, a structured investment vehicle. [read post]
28 May 2021, 6:27 am
Hopkins represented that he would invest their funds in an investment program at a local credit union, when in actuality no such program existed. [read post]
24 Aug 2016, 8:56 am
On Aug. 22, 2016, New York REIT, Inc. [read post]
12 May 2015, 2:47 pm
Essentially, in addition to taking on the credit risk of the issuer, the investor also takes on the price risk of the referenced security or securities. [read post]
6 Nov 2017, 6:59 am
Private Fund Exemptions under the Investment Company Act Investment Company Act of 1940 (.pdf) Salomon Brothers, Inc., SEC Staff No-Action Letter (June 17, 1985) Citytrust, SEC Staff No-Action Letter (Dec. 19, 1990) Greenwich Capital Acceptance Inc., SEC Staff No-Action Letter (Aug. 8, 1991) [read post]
28 Jan 2010, 5:17 pm
Inc. [read post]
22 Oct 2011, 7:35 pm
Citigroup Global Markets Inc. [read post]
30 Nov 2011, 8:19 am
Hedge Funds Abbar’s hedge-fund investment collapsed in 2008 as Lehman Brothers Holdings Inc. failed and funds around the world plunged. [read post]
11 Apr 2007, 11:00 am
Defendants in the petition include Credit Suisse First Boston LLC, Pershing LLC, Merrill Lynch Pierce Fenner & Smith Inc., Credit Suisse First Boston (USA) Inc., Merrill Lynch & Co., Barclays Capital Inc., Barclays Bank PLC, and Barclays PLC. [read post]
