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31 Jan 2011, 9:18 am by Alan Ackerman
Bonds to be sold tomorrow by Nashville and Davidson County’s Convention Center Authority through investment banks led by Goldman Sachs Group Inc. pledge general-fund revenue if hotel, airport and rental-car taxes and use of the Music City Center aren’t enough to repay investors. [read post]
24 Sep 2008, 4:29 am
So, yes, around the country, particularly in those pockets where the sub prime mortgage crisis is most affecting the community is where may of these investigations reside. [read post]
16 Apr 2019, 11:52 am by zamansky
Investors deserve unambiguous communication from their brokers, not broker babble or doublespeak. [read post]
27 Aug 2009, 7:35 am
The agency charged that a Bank of America proxy statement in November misled investors about bonuses for employees at Merrill Lynch, which was about to be acquired by the bank. [read post]
1 Dec 2011, 4:05 pm by John Jascob
The states are in a better position to communicate with both the issuer and the investor, are most familiar with the local economic factors that affect small business, and have a strong interest in protecting the investors in these types of offerings. [read post]
28 Sep 2017, 12:22 pm by Mark Astarita
 The New York office has responsibility for the largest concentration of SEC-registered financial institutions including more than 4,000 investment banks, investment advisers, broker-dealers, mutual funds, and hedge funds. [read post]
21 Jul 2017, 6:04 am
Mendelsohn, Paul, Weiss, Rifkind, Wharton & Garrison LLP, on Saturday, July 15, 2017 Tags: Anti-corruption, Disgorgement, DOJ, FCPA, Misconduct, SEC, SEC enforcement, Securities enforcement, Supreme Court Balancing the Governance of Financial Institutions Posted by David Min, University of California, Irvine, on Sunday, July 16, 2017 Tags: Agency costs, Banks, Dodd-Frank Act, Failed… [read post]
10 Feb 2020, 6:18 am
The task force was chaired by Brian Moynihan, Chairman and CEO of Bank of America and Chairman of the IBC, and included experts from each of the Big Four accounting firms—Deloitte, EY, KPMG and PwC. [read post]
22 Jan 2007, 9:40 am
"LongView is having a useful dialogue with some of the companies to which we addressed proposals on options backdating issues," Amalgamated Bank Vice President Julie Gozan said. [read post]
19 Nov 2008, 3:42 pm
The investment community reacted to the nationalization plan by sending the Argentine Stock Market down 11 percent. [read post]
23 Mar 2018, 6:23 am
Gorton and Toomas Laarits (Yale School of Management), on Wednesday, March 21, 2018 Tags: Bank debt, Bankruptcy, Banks, Bonds, Collateral, Financial crisis, Financial institutions, Financial regulation, Liquidity, Shadow banking, Sovereign debt Bringing the #MeToo Movement into the Boardroom Posted by Arthur H. [read post]
13 Nov 2012, 4:27 pm
Per the court, the defendants authorized the California private school to seek financing for the renovation and expansion of its facilities through the issuance of $13 million in bonds, which took place pursuant to a July 1, 2007 indenture between Wells Fargo Bank NA (WFC), serving as indenture trustee, and California Statewide Communities Development Authority, as the bond issuer. [read post]
27 Mar 2013, 1:43 pm by Cathy Holmes
For example, a private equity investor will typically be willing to accept higher risks than a bank, as consideration for the higher rate of return expected by the private equity investor. [read post]
27 Mar 2013, 1:43 pm by Cathy Holmes
For example, a private equity investor will typically be willing to accept higher risks than a bank, as consideration for the higher rate of return expected by the private equity investor. [read post]
15 Mar 2018, 7:16 am by John Jascob
The Senate passed a bill that would reduce the regulatory burdens imposed by the Dodd-Frank Act on community banks but that also would address numerous securities issues, such as the definition of “covered securities. [read post]
29 May 2012, 9:21 am by David Keenan
The SEC alleged that Perry misled investors in a May 2, 2008 prospectus by failing to disclose that he had advised the board that the bank planned to defer its dividend. [read post]
20 Jul 2012, 1:34 pm
The state’s highest court said that vertical commonality or horizontal community is the “keystone” when it comes to common venture and not the investment return’s accompanying fluctuation and risk. [read post]
10 Aug 2022, 6:45 pm by Race to the Bottom
This is particularly important for robo-advisers since clients in these types of investment relationships rely solely on their robo-adviser to electronically communicate limitations, risks, and operational aspects of the advisory service. [read post]
9 Aug 2013, 5:34 pm by Ilya Somin
The major banks and other investors who currently own the threatened mortgages are not going to give up easily, and there is likely to be a prolonged legal battle. [read post]