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1 May 2021, 8:05 am
The working definition of materiality in the United States, which has served corporate America well for nearly nine decades, now finds itself facing significant pressures from a variety of sources. [read post]
16 Nov 2016, 8:20 am
This summer, the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) both fined Merrill Lynch, the brokerage arm of Bank of America Corporation, for negligently failing to adequately disclose information in connection with the sale of a product called “Strategic Return Notes” (“SRNs”). [read post]
16 Nov 2016, 8:20 am
This summer, the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) both fined Merrill Lynch, the brokerage arm of Bank of America Corporation, for negligently failing to adequately disclose information in connection with the sale of a product called “Strategic Return Notes” (“SRNs”). [read post]
29 Nov 2018, 1:04 pm
According to the complaint, Flynn then proceeded to recommend significant positions in illiquid investments and non-traded REITs, including a Phillips Edison REIT and a business development corporation (BDA) called Business Development Corporation of America. [read post]
13 Jul 2023, 8:18 am
(CRD#:10641) of New Bedford, MA, LPL Financial Corporation (CRD#:6413) of East Falmouth, MA, and Securities America, Inc. [read post]
19 Aug 2014, 1:12 am
It should be noted that Bank of America and Citigroup both benefitted from the fiscal bailouts during the financial crisis. [read post]
19 Aug 2014, 1:12 am
It should be noted that Bank of America and Citigroup both benefitted from the fiscal bailouts during the financial crisis. [read post]
10 Apr 2017, 8:53 am
The post Business Development Corporation of America (BDCA) Tender Offer appeared first on White Securities Law. [read post]
5 Jan 2022, 1:33 pm
Franklin BSP Lending Corporation Shareholder Lawsuits Did your broker-dealer recommend an investment in Franklin BSP Lending Corporation formerly known as Business Development Corporation of America (BDCA)? [read post]
21 Aug 2014, 9:45 am
[JURIST] The US Department of Justice (DOJ) [official website] on Thursday announced a $16.65 billion settlement [press release] with Bank of America (BOA) [corporate website] to settle claims that it sold precarious mortgage-backed securities to investors. [read post]
30 Jul 2010, 10:56 am
This new legislation is aimed to crack down on the excesses of Wall Street and corporate America by overhauling banking and Wall Street regulations. [read post]
10 Oct 2017, 12:09 pm
Business Development Corporation of America (“BDCA”) is a non-traded business development company headquartered in New York, New York. [read post]
9 Aug 2018, 12:50 pm
Securities America failed to act as Hector May sold fictitious “tax-free” corporate bonds from his New City Securities America office with his Securities America approved Registered Investment Advisory business, Executive Compensation Planners. [read post]
9 Feb 2011, 5:43 am
(NYSE:TYC), Citibank (NYSE:C) and others met with the Securities and Exchange Commission last fall to talk about whistleblower provisions in the new financial reform laws. [read post]
25 Jul 2017, 7:03 am
The post Business Development Corporation of America (BDCA) Lowers Distribution Rate appeared first on White Securities Law. [read post]
12 Oct 2014, 6:00 am
As an echo of the last financial crisis, the two themes that have arguably dominated the corporate governance debate globally are investor activism and corporate governance enforcement. [read post]
21 Jul 2014, 1:30 pm
Part of those reforms was to include robust protections to encourage corporate whistleblowers to report financial fraud and securities violations. [read post]
3 Nov 2016, 2:13 pm
This article was originally posted on Stock Market Loss This summer, the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) both fined Merrill Lynch, the brokerage arm of Bank of America Corporation, for negligently failing to adequately disclose information in connection with the sale of a product called “Strategic Return Notes” (“SRNs”). [read post]
9 Jun 2009, 2:13 pm
Bank of America has reached an agreement with the California Department of Corporations to "facilitate" the return of more than $3 billion to clients in that state who purchased auction rate securities, the Journal said. [read post]
5 Feb 2010, 8:34 am
While Lewis didn’t push as deeply as some rivals into mortgage-backed securities, “he made bad strategic decisions” by overpaying for Merrill Lynch and subprime home lender Countrywide Financial Corp., Williams said. [read post]
