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6 May 2011, 4:16 am
Please explain in a detailed legal analysis how your proposed plan of business would operate under both the federal securities law and the Commodity Exchange Act. [read post]
2 Oct 2019, 11:39 am
On October 1, 2019, a federal court judge entered final judgments against New York-based brokerage firm Lek Securities Corp. and Chief Executive Officer Sam Lek, who were charged by the Securities and Exchange Commission with facilitating manipulative U. [read post]
14 Aug 2014, 12:42 am
In the Peace Corps example, the Peace Corps General Counsel interpreted the Kate Puzey Peace Corps Volunteer Protection Act of 2011, which, among other things, provided an extensive oversight role for the Peace Corps Office of Inspector General (Peace Corps OIG) in examining the Peace Corps’ handling of reports of sexual assault against Peace Corps volunteers, as prohibiting the agency from giving access to records clearly… [read post]
5 Jul 2018, 7:03 am
He is currently registered with Newbridge Securities Corp in Oakbrook Terrace, Illinois, and has been since June 2017. [read post]
30 Jan 2023, 9:41 am
(CRD#:47351, expelled by FINRA on 5/10/2016), Global Arena Capital Corp (CRD#:16871, expelled by FINRA on 1/4/2016), B.B. [read post]
11 Dec 2017, 7:57 am
National Planning Corp. [read post]
29 Sep 2015, 2:02 pm
On September 15, 2015, FINRA announced that, as a result of recent focus on broker migration between risky brokerage firms and a 2014 on-site examination of Global Arena Capital Corp. [read post]
6 May 2022, 8:50 am
The Securities and Exchange Commission today announced fraud charges against MCC International Corp. [read post]
21 Jun 2018, 12:16 pm
His previous employers include: National Securities Corporation (CRD #7569) of Mineola, NY First Montauk Securities Corp. [read post]
25 Jan 2019, 12:46 pm
Gaudet – Ameritas Investment Corp. [read post]
31 Oct 2006, 2:28 am
Delphi Corp. and a number of its former senior executives, most prominently CEO J.T. [read post]
23 Oct 2021, 6:32 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6131/securities-industry-commentator/Frustrated Former Merrill Lynch Employee Could Not Be Promoted But Maybe Could Have But the Firm Says It Didn't Have To (BrokeAndBroker.com Blog)SEC Charges Fixed Income Clearing Corp. [read post]
12 Sep 2012, 8:00 am
Sears Holdings Corp., 2010 WL 1292329, No. 09-3589-cv (2d Cir. [read post]
4 Oct 2010, 4:55 am
Corp Fin Updates Financial Reporting Manual (Again) On Friday, Corp Fin updated its Financial Reporting Manual for issues related to Regulation S-X Rule 3-09, Rule 3-10, and Rule 3-16, as well as other changes (eg. [read post]
3 Apr 2024, 3:00 am
In a morning panel at “The SEC Speaks in 2024” featuring senior members of Corp Fin, Chief Counsel Michael P. [read post]
3 Feb 2024, 9:21 am
Bollinger (2003)(overruled in the Harvard and UNC case):[H]igh-ranking retired officers and civilian leaders of the United States military assert that, “[b]ased on [their] decades of experience,” a “highly qualified, racially diverse officer corps … is essential to the military’s ability to fulfill its principle mission to provide national security. [read post]
16 Jun 2023, 3:00 am
If you’re a securities nerd or history buff — or both — I hope you enjoy! [read post]
24 Aug 2009, 1:18 pm
Murphy, III, alleging that the defendants violated Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder by buying First Indiana Corporation... [read post]
18 Feb 2011, 4:35 am
Corp Fin Hires Lona Nallengara as Deputy Director Yesterday, Corp Fin announced that it has hired Lona Nallengara as Deputy Director for Legal and Regulatory Policy - replacing Brian Breheny who left the SEC a few months ago. [read post]
16 Jun 2010, 11:01 am
A grand jury indicted Lee Bentley Farkas, CEO of Taylor Bean & Whitaker Mortgage Corp., which was one of the largest independent home-loan providers, on 16 counts of bank, securities and wire fraud. [read post]
