Search for: "Financial Security Assurance, Inc."
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19 Dec 2011, 10:24 am
On Friday, December 16, 2011, the House Committee on Financial Services announced that it "will hold a hearing next year to examine the practice by the Securities and Exchange Commission of settling cases with defendants that neither admit nor deny complaints made by the SEC. [read post]
19 Dec 2011, 8:33 am
Citigroup Global Markets, Inc., SD NY, 11 Civ. 7387, Nov. 28, 2011.The SEC's long-standing policy of allowing defendants to enter into consent judgments without admitting or denying the underlying allegations deprived the court of even the most minimal assurance that the substantial injunctive relief it is being asked to impose has any basis in fact.The SEC took the position that, because the financial institution did not expressly deny the allegations, the court, and… [read post]
19 Dec 2011, 2:26 am
.'s and MF Global Inc.'s Chief Executive Jon Corzine's third time to testify before Congress. [read post]
13 Dec 2011, 3:24 am
Liberty Life Assurance Company of Boston was recently sued by three separate Plaintiffs for Employee Retirement Income Security Act (ERISA) violations in Michigan Federal Courts. [read post]
30 Nov 2011, 2:15 pm
In other words, if you’re a giant financial institution, and you chose robo-signing as your solution, it’s because you didn’t have anywhere else to go. [read post]
28 Nov 2011, 1:35 pm
Citigroup Global Markets, Inc., SD NY, 11 Civ. 7387, Nov. 28, 2011.An application of judicial power that does not rest on facts is inherently dangerous, emphasized the court, adding that the injunctive power of the judiciary is not a free roving remedy to be invoked at the whim of a regulatory agency, even with the consent of the regulated. [read post]
28 Nov 2011, 3:00 am
Morgan Investment Management Inc., No. 227, due to the circumstance that both cases raise issues involving a preemption defense under the anti-fraud provisions of New York's Martin Act governing the sale of publicly offered securities. [read post]
21 Nov 2011, 2:26 pm
Also charged with securities fraud bu the SEC (allegations against the parties vary, but include: violation of federal securities’ laws anti-fraud provisions, offering registration requirements, and broker-dealer registration requirements): • Gibraltar Asset Management Group LLC • Garfield Taylor Inc. [read post]
3 Nov 2011, 8:21 am
Yet, short sale sellers are often too financially strained to hire experts to advise them on the complicated financial, legal, tax, credit, and other issues raised by their situations. [read post]
1 Nov 2011, 3:53 pm
. **** November 1, 2011 Proposed Guidance for CPOs with Pool Funds Held at MF Global, Inc. [read post]
25 Oct 2011, 4:38 am
Rest assured, however, says FINRA- it will still be able to enforce securities laws and FINRA rules, discipline financial firms, and do everything in its power to protect investors. [read post]
14 Oct 2011, 1:48 am
-listed Chinese companies, on October 11, 2011, Central District of California Judge Christina Snyder denied the defendants’ motion to dismiss in the securities suit filed against China Education Alliance, Inc. [read post]
13 Oct 2011, 5:44 pm
He also stated that he believed that “Halliburton intends to persist in violating securities laws and filing inaccurate and misleading financial information. [read post]
6 Oct 2011, 11:37 am
Kanan Fashions, Inc., No. 10 CV 331, 2011 WL 4396912 (N.D. [read post]
22 Sep 2011, 4:25 am
This Order also requires provision of financial assurance. [read post]
18 Sep 2011, 8:21 pm
Social Security Numbers and certain other information are redacted from the documents by law, but otherwise they are complete. [read post]
14 Sep 2011, 1:47 pm
He assured me the company was in a strong financial condition and in no danger of failing. [read post]
12 Sep 2011, 5:45 am
A Wisconsin disability attorney recently filed a lawsuit at the District Court for the Eastern District of Wisconsin against Sedgwick Claims Management Services, Inc and the Liberty Life Assurance Company of Boston under the Employee Retirement Income Security Act of 1974, (ERISA) for arbitrarily and capriciously denying a plaintiff's claim for long term disability benefits. [read post]
7 Sep 2011, 5:40 pm
In 2008, the collapse of the housing market caused the credit ratings of XL Capital Assurance Inc. and Financial Guaranty Insurance Co. to be cut because of losses sustained on securities linked to home loans. [read post]
30 Aug 2011, 3:26 pm
A recent Ontario decision, Oak Incentives Group Inc. v. [read post]
