Search for: "Securities America Financial Corporation"
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6 Aug 2019, 8:49 am
According to FINRA Disciplinary actions for July 2019, the following individuals were barred 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 Bang, Gregory NYLIfe Securities LLC Block, Gabriel First Standard Financial Company National Securities Corporation … [read post]
27 Nov 2013, 7:58 am
JP Morgan Chase & Co., Bank of America Corp., Citigroup Inc., and Well Fargo & Co. each hold more than half of the total banking assets in the country. [read post]
7 Feb 2013, 8:36 am
In that case, he allegedly oversaw the National Foundation of America and obtained $20 million in another CGA plan. [read post]
4 Feb 2020, 7:04 am
The Risks of Corporate Social Responsibility While the benefits of a company taking an affirmative stance on social responsibility are clear, such positions are also potentially fraught with risks on a variety of political, social, environmental, and financial spectrums. [read post]
11 Feb 2018, 2:35 pm
In additional to the Bill Barrett Corporation lawsuit, a merger objection lawsuit was filed in the Southern District of New York against American Finance Trust, Inc. and certain of its directors and officers in connection with the company’s proposed merger into Retail Centers of America. [read post]
28 Mar 2017, 4:32 pm
The defendants in the Eletrobras securities suit moved to dismiss. [read post]
26 Nov 2008, 6:59 am
The off and on combination of Land America Financial Group with Fidelity National Title Title is back again. [read post]
21 Sep 2009, 4:45 pm
Investors Have Choice to Make Regarding Medical Capital Corporation Fraud Recovery A class action lawsuit was filed in the Central District of California on September 18, 2009, against brokerage firms Cullum & Burks Securities, Inc., Securities America, Inc., Ameriprise Financial, Inc., and CapWest Securities, Inc., on behalf of investors who purchased so called "Medical Capital Notes" issued by Medical Provider Financial… [read post]
15 Nov 2011, 5:00 am
The “Intersection of Legal Ethics and Financial Reporting” panel featured John W. [read post]
30 Dec 2014, 12:03 pm
The plaintiff pension funds were certificateholders for twenty‐five of the PSA‐governed New York trusts and one of the SSA‐ and indenture‐governed Delaware trusts.Countrywide Home Loans, Inc. and affiliates, now owned by Bank of America Corporation, originated the residential mortgage loans underlying the 530 trusts at issue and sold them to the trusts. [read post]
12 May 2010, 1:39 pm
Second: We need energy made in America. [read post]
20 Jun 2010, 6:32 pm
To Securities and Exchange Commission Chief Accountant Wayne Carnall: In my first Open Letter, I asked the Securities and Exchange Commission Division of Corporation Finance to review Medifast's (NYSE: MED) revenue recognition policy to determine if it complies with Generally Accepted Accounting Principles (GAAP) and SEC Staff Accounting Bulletin Topic 13. [read post]
4 Feb 2016, 7:58 am
Yadley, Partner, Shumaker, Loop & Kendrick LLP, Tampa, FloridaLaura Yamanaka, President and Co-Founder, teamCFO, Inc., Los AngelesThe committee also will include as non-voting members:Michael Pieciak, Deputy Commissioner, Securities Division, State of Vermont Department of Financial Regulation, and Chair of the Corporation Finance Section of the North American Securities Administrators AssociationMark Walsh, Associate Administrator, Office of Investment and… [read post]
29 Aug 2018, 12:01 pm
Their new crusade is a misguided attempt to persuade the Securities and Exchange Commission (SEC) not to approve initial public offerings by companies whose corporate charters or bylaws require individual arbitration of shareholder disputes. [read post]
14 Apr 2010, 5:00 am
Generally, the BRIC economies have bounced back faster than many more developed economies from the recent global financial crisis (Goldman Sachs). [read post]
20 Sep 2011, 9:02 am
Rich America. [read post]
25 Sep 2023, 2:26 pm
Securities and Exchange Commission (SEC) announced settled charges against the registered investment adviser DWS Investment Management Americas Inc. [read post]
House Panel Approves Proxy Access ProvisionSubmitted by Ted Allen, Publications/Governance Institute
4 Nov 2009, 5:39 am
House Financial Services Committee voted 41-28 today to approve a wide-ranging investor protection bill that affirms the authority of the Securities and Exchange Commission to issue a rule on proxy access. [read post]
14 Feb 2018, 2:57 pm
This past year was an eventful one in the corporate and securities litigation arena. [read post]
15 Apr 2010, 8:00 am
Also, corporations listed on the Novo Mercado’s strictest tier have been shown to receive higher prices for their securities. [read post]
