Search for: "CAPITAL ONE FINANCIAL CORP."
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16 Mar 2017, 4:24 pm
Generally speaking, a C-Corp is one of the more expensive entities to form an maintain. [read post]
Investors Left Out of the Auction Rate Securities Regulatory Settlements Are Suing to Recover Losses
22 Jun 2009, 9:46 am
The firms include Raymond James Financial Inc., Oppenheimer Holdings Inc., E*Trade Financial Corp., and TD Ameritrade Holding Corp., which were among the biggest distributors of auction rate securities, according to the article. [read post]
24 Dec 2021, 7:57 am
CIIG Merger Corp. [read post]
22 Dec 2020, 2:24 pm
As I noted in a recent post, one of the most distinctive phenomena in the U.S. financial markets this year has been the tremendous amount of IPO activity involving Special Purpose Acquisition Companies (SPACs). [read post]
11 May 2010, 7:47 am
Beyond that, members are liable only up to the amount of their capital contributions and the amount they agree to contribute to the firm's capital. [read post]
17 Feb 2016, 6:54 am
According to reports, the brokers’ alleged misconduct occurred while they were employed with Mid Atlantic Capital Corp, a FINRA registered brokerage firm. [read post]
20 Dec 2020, 5:24 pm
ESG has to date relied most heavily on the “E” environmental, but in the U.S. given the last year of calls for social justice, governance will likely be a new emphasis, as evidenced by the new NASDAQ requirement that boards have at least one woman and one director that self identifies as an underrepresented minority or LGBTQ, and a question may be if GRESB can capitalize on that. [read post]
28 Jul 2017, 5:00 am
Georgia Bullitt, a partner at Willkie Farr & Gallagher LLP, suggested one way to achieve this is to read the AML laws to top executives who may fail to grasp the importance of AML compliance. [read post]
19 Mar 2010, 1:41 pm
" I promise you no one guesses right. [read post]
21 Jun 2019, 12:21 pm
With more than 30 years in the industry, Jessee has also been a registered broker at five other broker-dealers, including Investors Capital Corp., Financial Securities Network, NAP Financial Corporation, Marketing One Securities, and Mutual of Omaha Fund Management Company. [read post]
20 Apr 2022, 1:03 pm
Background Peridot Acquisition Corp. is a special purpose acquisition company (SPAC). [read post]
14 Jan 2008, 8:00 am
The group includes the Government of Singapore Investment Corp., Capital Research, Capital World Investors, the Kuwait Investment Authority, the New Jersey Division of Investment, shareholder Prince Alwaleed bin Talal of Saudi Arabia and former CEO Sanford Weill. [read post]
11 Jul 2007, 5:24 pm
Trust sale caused speculation that Schwab may buy one or more of its online competitors, such as E-Trade Financial Corp. or TD Ameritrade Holding Corp. [read post]
25 Jan 2011, 8:30 am
The OSC should ease up on its application of the Defensive Tactics Policy As published in Monday's Financial Post Edward Waitzer and Sean Vanderpol The current Baffinland Iron Mines Corp. control contest, in which the Ontario Securities Commission (OSC) has intervened several times, raises yet again questions about the fundamental differences between securities regulation and corporate law. [read post]
20 Aug 2009, 9:21 am
In re National City Corp. [read post]
28 Jul 2023, 1:02 pm
Complex investments typically invest in nontraditional assets or engage in one or more complex strategies which is why it is important to conduct extensive research prior to investing in one. [read post]
12 Nov 2009, 1:12 am
In each case, the sudden and dramatic events in the financial markets during September and October 2008 produced a magnified impact on financial condition of these companies. [read post]
5 Oct 2011, 4:58 am
” Mineral Lands Research & Marketing Corp., S.E.C. [read post]
23 Mar 2016, 7:04 am
Twentieth Century Fox Film Corp., 539 U.S. 23 (2003). [read post]
10 Mar 2014, 4:01 am
Insurance is the lubricant of our financial engine. [read post]
