Search for: "SECURITIES CORP."
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30 Mar 2011, 1:54 pm
Jaffe, a part-owner of Cohmad Securities Corp., to pay $1.1 million plus interest to a group of investors formed to invest in Bernie Madoff's ponzi scheme. [read post]
31 Jul 2012, 9:49 am
FINRA announced that it expelled Biremis, Corp., formerly known as Swift Trade Securities USA, Inc., and barred its President and Chief Executive Officer, Peter Beck, for supervisory violations related to detecting and preventing manipulative trading activities such as "layering," short... [read post]
7 Sep 2010, 1:10 pm
Questar Capital Corp. (7th Cir. [read post]
9 Oct 2010, 3:02 am
(“DRS”) and American Power Conversion Corp.... [read post]
2 Nov 2010, 3:30 pm
Cohmad Securities Corp., et al. [read post]
18 Apr 2011, 3:06 pm
The SEC announced a proposed settlement with two Italian citizens, Oscar Ronzoni and Paolo Busardò, their investment vehicle, Tatus Corp., and another related entity, A-Round Investment SA, for alleged insider trading in the securities of DRS Technologies, Inc. [read post]
26 May 2011, 2:06 pm
Bank of New York Mellon Corp. and Wells Fargo Bank, who were trustees for Medical Capital Holdings, have sued a number of broker-dealers that marketed the Med Cap private placement offerings, claiming that the broker-dealers sold the securities to investors... [read post]
2 Feb 2016, 5:25 pm
Lieutenant Commander Stanley Fields of the Coast Guard JAG corps addresses the United States' traditional reluctance to take an expansive reading of Article 234 of UNCLOS, and advocates for the implementation of a regulatory framework similar to that of Russia or Canada, which would enhance environmental protection, safety of life at sea, and security in the US Arctic. [read post]
5 Jul 2011, 5:00 am
Dana Corp., No. 09-4233, 2011 WL 2020717 (6th Cir. [read post]
27 Dec 2011, 8:09 pm
Bank of New York Mellon Corp. [read post]
23 Dec 2015, 3:14 am
Section 707 of the bill provides: “[n]one of the funds made available by any division of this Act shall be used by the Securities and Exchange Commission to finalize, issue, or implement any rule, regulation, or order regarding the disclosure of political contributions, contributions to tax exempt organizations, or dues paid to trade associations. [read post]
21 Dec 2009, 12:04 pm
Its three largest unsecured creditors include The Walt Disney Co., JPMorgan Chase, and Wilmington Trust Corp. [read post]
13 Jul 2014, 4:31 pm
SECURITY FORCE ASSISTANCE: The Army and Marine Corps Have Ongoing Efforts to Identify and Track Advisors, but the Army Needs a Plan to Capture Advising Experience, GAO-14-482: Published: Jul 11, 2014. [read post]
2 Dec 2015, 7:03 am
Marine Corps (Ret.) [read post]
29 Jul 2021, 8:00 am
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
23 Jul 2010, 6:13 pm
Inc. and Bear Stearns Securities Corp. successors. [read post]
18 Jan 2011, 4:50 am
Corp Fin Posts 10 New CDIs Re: Changes in Accountants On Friday, Corp Fin posted 10 new Compliance and Disclosure Interpretations that deal with accountants as follows: 1. [read post]
7 Jun 2023, 7:29 am
What is an S-Corp and C-Corp? [read post]
1 Jul 2009, 12:53 pm
State Street Corp. disclosed on Monday in a regulatory filing that the Securities and Exchange Commission could bring civil charges against its main subsidiary for possible securities violations tied to past investments in subprime mortgages. [read post]
17 May 2016, 6:28 am
Between the Private Securities Litigation Reform Act of 1995 (PSLRA) and the Supreme Court’s elevation of the standards for specificity in pleading in Bell Atlantic Corp. v. [read post]
