Search for: "Matter of Financial Corp."
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7 Jan 2023, 10:10 am
” Midland Hotel Corp. v. [read post]
7 Dec 2018, 5:00 am
Peg Henry, deputy general counsel at Stifel Financial Corp., agreed from the underwriter’s perspective. [read post]
6 Apr 2015, 6:00 am
Since 2008 Gioe has been registered with First Midwest Securities, Inc., John Thomas Financial, Aegis Capital Corp., Charles Vista LLC, Legend Securities, Inc., PHX Financial, Inc., and since January 2015, Avenir Financial Group. [read post]
5 Jan 2016, 6:40 am
From February 2010 until July 2010 Bernthal was associated with QA3 Financial Corp. [read post]
11 Oct 2018, 10:58 am
He later went on to work at other financial firms, including UBS PaineWebber, Prudential Securities, Wachovia Securities, Citigroup Investment Services, Great Western Financial Securities Corp., and Euro-Atlantic Securities Inc. [read post]
30 Jul 2015, 2:05 am
However, the Corps of Engineers unilaterally and unexpectedly, or so the plaintiff avers, drastically reduced the number of wetlands mitigation credits that could be sold, resulting in a significant financial loss to Pioneer Reserve. [read post]
10 Nov 2021, 3:50 am
As we have previously reported, over the past few months companies across a wide range industries have been receiving comments from the Corp Fin Staff that are focused on climate change disclosure. [read post]
20 Jul 2012, 11:38 am
The firm most recently lobbied for the holding company for the Japanese automaker's U.S. manufacturing and sales companies on financial, energy and environmental matters. [read post]
7 Feb 2017, 4:29 am
Piwowar and Kara Stein, a Democrat—meaning the SEC is politically deadlocked on most matters. [read post]
17 Mar 2024, 10:58 am
The amount of time and money required to respond to these claims and to defend these types of litigation matters can be substantia. [read post]
13 Jan 2020, 3:02 am
The most common topics covered are: environmental impact & risk management (including waste reduction), human capital management (including diversity & inclusion and community engagement) and health & safety MD&A: Corp Fin Wants More Info on Supplier-Finance Arrangements In recent remarks at an AICPA conference, Corp Fin’s Deputy Chief Accountant Lindsay McCord said companies need to do a better job discussing the financial implications of… [read post]
28 Feb 2014, 9:13 am
In First American Financial Corp. v. [read post]
26 Feb 2007, 3:36 pm
John Wilder, chairman and chief executive officer of TXU Corp., said, "This is a momentous event for our company in our long journey to transform TXU from a former integrated monopoly to high performance businesses. [read post]
22 Sep 2021, 10:28 am
FINRA’s findings stated that this matter came from information received by FINRA Securities Helpline for Seniors. [read post]
8 Feb 2019, 3:06 am
In other cases, this is not possible at a market-wide level, and comparability is reasonably possible at an industry level or only at a company level (this is demonstrated by the development of non-GAAP financial measures). [read post]
1 Aug 2015, 6:50 pm
GG immediately defaulted on the mortgage payments, and LC Corp. claims that his whereabouts are presently unknown. [read post]
4 Sep 2009, 2:04 pm
She has more than 20 years experience and has served as the assistant vice president and compliance administrator of National Financial Partners Corp. [read post]
22 Jul 2010, 2:31 pm
Dismissed for lack of subject matter jurisdiction. [read post]
9 Oct 2015, 6:28 am
Since May 2005 until April 2008, Page was associated with Investors Capital Corp. [read post]
12 Sep 2015, 12:56 pm
QA3 Financial Corp., Obsidian Financial Group, LLC. [read post]
