Search for: "CAPITAL ONE FINANCIAL CORP."
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8 Jun 2020, 12:36 pm
Bank of America Corp. [read post]
8 Jun 2020, 9:00 am
The intent of the AIOC is to bridge the gap between Indigenous groups wanting to participate in the natural resources sector and their financial capabilities. [read post]
29 May 2020, 9:04 am
Introduction We all knew the day would come when the Trump Administration would try to censor the Internet. [read post]
26 May 2020, 12:57 pm
Complaint – October 25, 2010: While Agnihotri was employed with Aegis Capital Corp., he was alleged to have made unauthorized trades and generating excessive in one of his client’s accounts. [read post]
14 May 2020, 5:31 am
(FINRA) Initiates a Review of Luftschein’s Previous Customers’ Account Churning Complaints Related to His Work at AEGIS Capital Corp. [read post]
14 May 2020, 5:31 am
(FINRA) Initiates a Review of Luftschein’s Previous Customers’ Account Churning Complaints Related to His Work at AEGIS Capital Corp. [read post]
10 May 2020, 9:01 pm
The subpoenas served on Deutsche Bank seek the records of President Trump, members of his family, the Trump Organization, Inc., and several affiliated entities, while the subpoena served on Capital One Financial Corp. seeks records only of the Trump Organization and affiliated entities. [read post]
30 Apr 2020, 7:44 am
One client, a financial institution, has already flipped its fraud-loss forecast for the year from an 8% drop to an increase ranging from 10% to 15%, Mattei says. [read post]
22 Apr 2020, 3:00 am
The SEC’s mission is threefold: protect our investors, preserve market integrity and facilitate capital formation. [read post]
14 Apr 2020, 3:03 am
– Last, consider reporting later than usual to give the company more insight into critical areas that investors will focus on, the blog also outlines considerations for current quarter reporting, including the current state of operations, financial liquidity/balance sheet/capital allocation and guidance. [read post]
13 Apr 2020, 11:29 am
On February 4, 2020, Paul Falcon, a broker with Aegis Capital Corp., signed a Financial Industry Regulatory Authority (“FINRA”) Letter of Acceptance, Waiver and Consent, agreeing to a fine of $5,000 and 30 day suspension for using WhatsApp Messenger to “conduct securities-related business with three Firm customers. [read post]
12 Apr 2020, 7:10 am
Advisor Darren Oglesby (Oglesby), currently employed by Money Concepts Capital Corp. [read post]
2 Apr 2020, 7:31 pm
These include everything from the free movement of investment, capital, and goods, to migration. [read post]
31 Mar 2020, 7:34 pm
Across Europe tens of thousands of medical staff have contracted the disease, and health workers represent a staggering one in eight of Spain’s now 85,195 COVID-19 cases. [read post]
30 Mar 2020, 4:59 am
For one thing, spon [read post]
29 Mar 2020, 7:56 am
(Investee)Capital Southwest Corporation in Recapitalization (Investor) 2-Jul-19QDiscoveryXact Data Discovery 19-Jun-19Text IQ (Investee)FirstMark Capital with Sierra Ventures (Investors)$12,600,000 17-Jun-19Elevate (Investee)Kayne Partners (Investor)$25,000,000 17-Jun-19Cellebrite (Investee)Israel Growth Partners (IGP) $110,000,000 12-Jun-19Infinnium (Investee)Sahajanand Group (Investor) 11-Jun-19Jordan LawrenceExterro 5-Jun-19Mindseye SolutionsReveal Data 3-Jun-19Thomson Reuters… [read post]
26 Mar 2020, 3:00 am
When it comes to earnings disclosure, Corp Fin touches on several issues, one of which is non-GAAP financial data. [read post]
16 Mar 2020, 1:54 pm
This decision opens a window for potential liability for misstatements beyond the Supreme Court’s prior decision in Janus Capital Group, Inc. v. [read post]
11 Mar 2020, 6:47 pm
M & F Worldwide Corp. [read post]
4 Mar 2020, 2:18 pm
Toshiba Corp., found that a foreign issuer could be liable under US securities laws for a sale of its securities in the US, even if the company was not involved in the sale. [read post]
