Search for: "Securities America Financial Corporation"
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17 Sep 2017, 7:30 pm
The ratings assigned to the offered notes will be issued based on the financial guarantee rating of Ambac Assurance Corporation as the note insurer.In connection with the transactions, each purchaser trust has filed with the Securities and Exchange Commission a preliminary prospectus supplement providing additional details regarding its issuance of asset-backed securities.At the closing of the NCSLT 2007-3 securitization, First Marblehead expects to receive… [read post]
5 Apr 2009, 1:26 pm
In September 2008, the government takeover of mortgage giants Fannie Mae and Freddie Mac was followed by the collapse of Lehman Brothers, the acquisition of Merrill Lynch by Bank of America and an $85 billion (and now $170 billion) government investment in American International Group. [read post]
22 Apr 2013, 11:22 am
(BANA) – was an Edge Act corporation and because 27 of the 1.7 million residential mortgage loans underlying the RMBS at issue were secured by properties outside of the United States. [read post]
5 Apr 2010, 12:17 am
In October 2009, the SEC Division of Corporation Finance discovered that Overstock.com overpaid a fulfillment partner $785,000 during 2008. [read post]
8 Mar 2022, 12:10 pm
American Judges and legislators here have increasingly unleashed guns as well as corporate and financial power on the election process. [read post]
4 May 2020, 6:39 am
From May 2014 until October 2016 Davenport was associated with Securities America, Inc. [read post]
28 Sep 2008, 3:10 pm
The Securities Investor Protection Corporation (SIPC) was created in 1970 as a non-profit, non-government, membership corporation, funded by member broker-dealers. [read post]
24 Oct 2008, 7:05 pm
The parent is the public company with oversight over all corporate operations and the duty to file accurate financial statements to the outside world.The subsidiary did not send any false numbers to investors, reasoned the court, and those numbers had to pass through a number of checkpoints manned by company personnel at the Australian headquarters before reaching investors. [read post]
4 Apr 2018, 7:38 am
Morgan Securities LLC Kenneth Taylor Foreman Securities America, Inc. [read post]
25 Apr 2019, 11:59 am
According to FINRA Disciplinary actions for April 2019, the following individuals were suspended 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 Acca, Lisa Arive Capital Markets Global Arena Capital Corp Boggs, Marcus Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America… [read post]
12 Jan 2012, 10:40 am
NRTI Office NRTI Novastar Financial, Inc. [read post]
28 Aug 2010, 8:59 am
Consequently, they will have to focus on U.S. corporate securities. [read post]
11 Dec 2014, 9:49 am
In August, Lane explained, the SEC brought a case against Bank of America about certain disclosures the company failed to make in its MD&A about residential mortgage-backed securities. [read post]
7 Mar 2011, 12:17 pm
Securities America is owned by Ameriprise Financial Services, which reported a profit of $1.1 billion in 2010 on revenue of nearly $10 billion. [read post]
5 Feb 2010, 3:30 pm
The Attorney General also thanked the Securities and Exchange Commission ("SEC") and noted that today the SEC is announcing a proposed corporate settlement with Bank of America (See SEC Lit. [read post]
9 Sep 2013, 10:20 am
Additionally, UITs one of the highest commission products sold by a financial advisor (often explaining the broker’s motivation in selling a UIT as opposed to a basket of municipal or corporate bonds. [read post]
21 Oct 2020, 11:44 am
., an independent exploration and production company, focuses on the acquisition and development of oil and natural gas properties in North America. [read post]
15 Jun 2022, 9:05 pm
Today, by contrast, corporate America is thought to be a solution to government dysfunction around issues like inequality and the environment. [read post]
8 May 2022, 9:01 pm
I believe the SEC and the federal securities laws have been a major part of America’s economic success. [read post]
6 Dec 2011, 3:27 am
The equity securities holders’ and bondholders’ actions arise from financial disintegration Wachovia experienced between its 2006 purchase of Golden West Financial Corporation and its 2008 merger with Wells Fargo & Company. [read post]
