Search for: "BNY Mellon Capital Markets"
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17 Aug 2022, 6:30 am
The same week the proposed rules were released, the SEC announced that BNY Mellon Investment Adviser, Inc. agreed to pay a $1.5 million fine to the SEC to settle allegations that the firm made misleading claims about ESG funds it managed. [read post]
24 Aug 2022, 9:01 pm
(“BNY Mellon”), relating to its ESG assurances in violation of the Investment Advisers Act of 1940 and the Investment Company Act of 1940. [read post]
6 Aug 2012, 2:41 pm
Carilion Clinic, Reuters, July 30, 2012 More Blog Posts: Texas Securities Fraud: BNY Mellon Capital Markets LLC Settles Allegations of Rigged Bond Bidding for $1.3M, Stockbroker Fraud Blog, January 24, 2012 Securities Claims Accusing Merrill Lynch of Concealing Its Auction-Rate Securities Practices Are Dismissed by Appeals Court, Stockbroker Fraud Blog, November 20, 2012 The 11th Circuit Revives SEC Fraud Lawsuit Against Morgan Keegan Over Auction-Rate… [read post]
23 Feb 2012, 6:15 pm
Cornett in Foreign Currency Fraud Action, CFTC, February 8, 2012 Read the Complaint (PDF) More Blog Posts: Texas Securities Fraud: SEC May Pursue Disgorgement Claim from Charles Wyle’s Estate Now that He is Deceased, Stockbroker Fraud Blog, February 9, 2012 Texas Securities Fraud: BNY Mellon Capital Markets LLC Settles Allegations of Rigged Bond Bidding for $1.3M, Stockbroker Fraud Blog, January 24, 2012 TD Bank Ordered to Pay Texas-Based Coquina… [read post]
3 Feb 2012, 1:53 pm
CEO of Dallas-based AmeriFirst found guilty of securities fraud for swindling $50 million from retirees, The Dallas Morning News, December 22, 2011 Defendant Deceived Investors About Supposed Fraud Scheme That Involved More Than 500 Victims and More Than $50 Million, Justice.gov, December 21, 2011 More Blog Posts: Texas Securities Fraud: BNY Mellon Capital Markets LLC Settles Allegations of Rigged Bond Bidding for $1.3M, Stockbroker Fraud Blog, January 24, 2012… [read post]
9 Feb 2012, 3:23 pm
Owner Convicted of Texas Securities Fraud, Stockbroker Fraud Blog Post, February 3, 2012 Texas Securities Fraud: BNY Mellon Capital Markets LLC Settles Allegations of Rigged Bond Bidding for $1.3M, Stockbroker Fraud Blog, January 24, 2012 TD Bank Ordered to Pay Texas-Based Coquina Investments $67M Over $1.2 Billion Ponzi Scheme, Stockbroker Fraud Blog, January 19, 2012 [read post]
12 Jul 2011, 12:00 pm
The company has evolved into a direct importer, producer, and marketer. [read post]
2 Oct 2018, 3:00 am
Here’s an excerpt about the leaders for IPO market share: AST has moved to the top transfer agent of IPO market share, putting Computershare/BNY Mellon into second. [read post]
28 Jan 2012, 9:59 pm
Read the SEC Complaint (PDF) Microcap Stock: A Guide for Investors, SEC More Blog Posts: Texas Securities Fraud: BNY Mellon Capital Markets LLC Settles Allegations of Rigged Bond Bidding for $1.3M, Stockbroker Fraud Blog, January 24, 2012 Unsealed Documents in $54.4M FINRA Arbitration Case Reveal that Citigroup Did Not Disclose Municipal Bond Risks to Investors, Stockbroker Fraud Blog, January 21, 2012 Merrill Lynch, Pierce, Fenner & Smith Ordered to… [read post]
11 Apr 2022, 7:53 am
BNY Mellon announced it will hold, transfer and issue bitcoin and other cryptocurrencies for asset management clients. [read post]
26 Oct 2010, 8:22 am
AdvisorShares is pleased to offer actively managed ETFs, including the Dent Tactical ETF (NYSE: DENT), the Mars Hill Global Relative Value ETF (NYSE: GRV) and the WCM/BNY Mellon Focused Growth ADR ETF (NYSE: AADR) and is dedicated to investor education. [read post]
1 Jul 2020, 1:00 pm
An EU-wide FTT would harm capital formation in the EU and push traders to capital markets with lower transaction costs. [read post]
11 Feb 2021, 8:10 am
Nor has BNY Mellon put any limits on which kinds of cryptocurrencies it’s ready to custody. [read post]
17 Oct 2010, 5:26 am
Simon Derrick, chief currency strategist for BNY Mellon, said: “In narrow terms, the US is winning the currency wars as a weaker dollar will help its economy, but it could damage the other big economic blocs of China, Japan and Europe. [read post]
15 Jan 2014, 12:11 am
Background In essence, the Forex market is the market on which currencies are traded. [read post]
25 Apr 2012, 10:08 am
If the answer is judicial discretion, then all debt capital anywhere in the world, will become more expensive, because the entire capital market ecosystem will have to price in a new risk that it is absolutely incapable of hedging. [read post]
18 Apr 2016, 1:03 am
BNY Mellon Corp Trustee Services Ltd v LGB Capital & Anor, heard 21 March 2016. [read post]
23 Mar 2023, 7:19 am
The SEC has a three-pronged mission of protecting investors, maintaining fair, orderly, and efficient markets, and facilitating capital formation. [read post]
23 Jan 2020, 5:00 am
Table 1: Financial Transactions Taxes Around the World Source: BNY Mellon, “Financial Transaction Taxes (FTT): A Global Perspective,” 2018, https://www.bnymellon.com/emea/en/_locale-assets/pdf/our-thinking/ftt-globalperspective-brochure-03-2018.pdf. [read post]
1 Aug 2012, 5:51 am
Joyce, Chairman and CEO, Knight Capital Group, Inc. [read post]
