Search for: "SECURITIES CORP."
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9 Aug 2023, 11:25 am
The firms and their penalties have been produced and outlined as follows: Wells Fargo Securities, LLC together with Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC agreed to pay a $125 million penalty; BNP Paribas Securities Corp. and SG Americas Securities, LLC have each agreed to pay penalties of $35 million; BMO Capital Markets Corp. and Mizuho Securities USA LLC have each agreed to pay penalties of $25… [read post]
8 Aug 2023, 12:22 pm
Fines for other firms—including Bank of Montreal, BMO Capital Markets Corp., BNP Paribas, Houlihan Lokey Capital, Inc., Mizuho Securities USA, Moelis & Company LLC, SMBC Nikko Securities America, Inc., Société Générale, and Wedbush Securities Inc. [read post]
8 Aug 2023, 9:31 am
Separately, the Commodity Futures Trading Commission announced settlements with Wells Fargo Bank NA, Wells Fargo Securities, LLC, BNP Paribas Securities Corp., BNP Paribas S.A., SG Americas Securities, LLC, Société Générale S.A., Bank of Montreal, and Wedbush Securities Inc., for related conduct. [read post]
7 Aug 2023, 9:12 pm
In this case, one Midwest coal supplier gradually purchased the voting securities of another Midwest coal producer. [read post]
4 Aug 2023, 12:15 am
Corp. [read post]
3 Aug 2023, 11:22 am
The White Law Group reviews the regulatory history of FSC Securities Corp. [read post]
3 Aug 2023, 8:25 am
For example, the United States District Court for the Northern District of California, in WeRide Corp. v. [read post]
2 Aug 2023, 11:54 am
According to a Bloomberg report, less than seven months after raising $175 million in a junk-bond offering, American Eagle Energy Corp. [read post]
2 Aug 2023, 11:30 am
Ray himself secured a proclamation from D.C. [read post]
2 Aug 2023, 10:26 am
The stage is now set for the Board to overturn Care One and return to Total Security. [read post]
2 Aug 2023, 7:30 am
The Securities and Exchange Commission today filed insider trading charges against Charles Rustin Holzer, a family office executive and former broker who last year settled SEC charges that he traded in options of Dun & Bradstreet Corp. [read post]
2 Aug 2023, 7:22 am
He serves as director at three companies—United States Steel Corp., MetLife Inc., and Lockheed Martin Corp. [read post]
1 Aug 2023, 11:55 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
1 Aug 2023, 7:12 am
Department of Homeland Security; and the moderator Doris Meissner, Senior Fellow and Director, U.S. [read post]
31 Jul 2023, 9:05 pm
The case, Alpine Securities Corp. v. [read post]
31 Jul 2023, 6:34 pm
Pix credit here It has been quite a treat to sit on the sidelines as the glitterati of the business and human rights communities--its influencers, press organs, shock troops, academics (especially its public intellectuals), think tanks (especially those gambling on relevance among a small circle of enablers), and the units of its discipline inspection shock troops, have, since 2014, engaged in the quite remarkable project of shepherding through the Ottoman hareem that is the United… [read post]
31 Jul 2023, 2:58 pm
A new holding company, Yellow Roadway Corporation, was formed to serve as the parent company for both Roadway Corp, with its headquarters located in Overland Park and Yellow Corp. [read post]
31 Jul 2023, 11:26 am
The SEC and CFTC have been probing BNP Paribas Securities Corp., the bank’s U.S. registered broker-dealer, over its “compliance with records preservation requirements relating to the use of unapproved electronic messaging platforms for business communications,” according to the earnings report. [read post]
29 Jul 2023, 2:17 am
M&A transactions are different from equity “financing” transactions, in which a company raises money by selling new shares of its equity securities to investors (as opposed to existing stockholders selling their shares to the Buyer in an M&A transaction), even though equity financing transactions also involve the sale of stock in the company and can sometimes result in a change in control of the company. [read post]
28 Jul 2023, 1:02 pm
What are the Primary Elements of Securities Fraud? [read post]
