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3 May 2019, 10:07 am
Fairstone Financial Inc. also issued the first non-prime asset backed securities deal that Canada has seen since the credit crisis when it sold a CAD 322.4m bond issuance backed by consumer loans with interest rates as high as 39.99 per cent. [read post]
3 May 2019, 7:56 am
Utilizing Small Business Investment Company (SBIC) leverage allows small to mid-size funds to deploy capital more quickly and easily. 6. [read post]
29 Apr 2019, 12:55 pm
Freddie and Fannie, both U.S. government-sponsored entities (GSEs), offer bonds to raise money for loans. [read post]
26 Apr 2019, 6:36 am
Former Ameriprise Financial Services, Inc broker Corey Lee Mireau (CRD#3046777) has recently been suspended for two years from the industry after having agreed to the entry of findings alleging his failure to disclose loans from customers, private securities transactions, and outside business activities. [read post]
25 Apr 2019, 10:59 am
The providing of loans or selling of notes and other investments outside of a brokerage firm constitutes impermissible private securities transactions – a practice known in the industry as “selling away”. [read post]
24 Apr 2019, 8:06 am
(“Unison”) and M3 Inc. [read post]
17 Apr 2019, 8:55 am
Francis purportedly solicited his MML clients, with whom he attended church, to invest in Mahum, Inc., which Francis incorporated and controlled. [read post]
13 Apr 2019, 12:39 pm
The providing of loans or selling of notes and other investments outside of a brokerage firm constitutes impermissible private securities transactions – a practice known in the industry as “selling away”. [read post]
12 Apr 2019, 2:35 pm
Basically when a senior citizen’s income from other sources, such as a 401K or investment property plus half of their Social Security income exceeds $32,000 as a couple or $25,000 as a single person some of the Social Security income will become taxable. [read post]
3 Apr 2019, 8:23 am
As we have previously reported, in regards to its sales of Puerto Rico closed-end bond funds, UBS has settled with the Financial Industry Regulatory Authority Inc. and the Securities and Exchange Commission for close to $34 million. [read post]
26 Mar 2019, 1:20 pm
Powerful investment firms are making big money by encouraging companies to miss bond payments they could otherwise make. [read post]
26 Mar 2019, 12:50 pm
The SEC alleges that for years Direct Lending’s owner and then-chief executive officer arranged with QuarterSpot, Inc. an online small business lender to falsify borrower payment information for QuarterSpot’s loans and to falsely report to Direct Lending that borrowers made hundreds of monthly payments when they had not. [read post]
26 Feb 2019, 4:00 am
The 2004 Study reported tuition fees at the then six Ontario law schools over the period 1997/8 to 2003/4 observing that “[s]ince the deregulation of tuition for professional programs at the end of 1997, tuition fees at four of the five Ontario law schools have more than doubled, and tuition at the other has more than tripled”. [read post]
23 Feb 2019, 2:38 pm
The providing of loans or selling of notes and other investments outside of a brokerage firm constitutes impermissible private securities transactions – a practice known in the industry as “selling away”. [read post]
20 Feb 2019, 2:44 pm
INTRODUCTION On September 28, 2004, the United States Supreme Court granted a property owner’s application for leave from a Connecticut Supreme Court decision upholding the constitutionality of the community’s taking of property with the specified purpose of creating jobs by selling the property to a private industrial user.1 As the petitioner land owners in Kelo express in their brief requesting leave, the critical question for the Court to determine is whether a taking for purely… [read post]
20 Feb 2019, 2:08 pm
Shopoff Securities, Inc. [read post]
19 Feb 2019, 2:04 pm
His previous employers include UBS Financial Services Inc. [read post]
15 Feb 2019, 8:12 am
May served as president and chief compliance officer of Executive Compensation Planners Inc., an investment advisory firm registered in New York. [read post]
12 Feb 2019, 8:26 am
Shopoff Securities, Inc., William A. [read post]
6 Feb 2019, 4:14 am
Defendant Gruppo, Levey Holdings Inc. [read post]
