Search for: "CAPITAL ONE FINANCIAL CORP."
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4 Dec 2008, 5:56 pm
In Glazer Capital Management, LP v. [read post]
4 Dec 2008, 5:56 pm
In Glazer Capital Management, LP v. [read post]
12 Dec 2011, 3:00 am
The petitioner, Joseph DiMaria, owns 20% of the shares in JJM Pizza Corp. and 30% of the shares in Bayside Pizza Corp. [read post]
24 Mar 2010, 7:40 pm
According to one expert quoted in the article, trust preferred securities are "risky. [read post]
3 Feb 2016, 9:42 am
These MainStay Cushing funds were said to have been marketed to investors and sold by financial advisors at brokerages such as Cetera Advisors LLC, Mid Atlantic Capital Corp., JPMorgan, Ameriprise Brokerage, Raymond James, RBC Wealth Management, Morgan Stanley, and Securities America Inc. [read post]
3 Dec 2015, 6:26 am
Prospective franchisors’ number one mistake is starting the franchising process without devoting adequate capital and time to the process. [read post]
5 May 2010, 7:50 pm
The Federal Deposit Insurance Corp. has been generally wary of private equity investment in banks. [read post]
24 Jun 2024, 9:01 pm
Good afternoon.[1] I appreciate the opportunity to speak with you again today as part of the Corp Fin Workshop. [read post]
9 Dec 2008, 12:38 am
The language of present value, discounting and a whole range of metaphors drawn from modern financial theory.In one sense, it has always been there. [read post]
25 Nov 2010, 7:16 am
App. 2d 825 (1962); see, also Morrison Knudsen Corp. v. [read post]
27 Mar 2017, 7:12 am
According to reports, Kahn and Cervino were affiliated with Primary Capital in New York and were barred from the securities industry by the Financial Industry Regulatory Authority Inc. [read post]
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 million; Houlihan Lokey… [read post]
15 Jun 2016, 7:01 am
Bataan is currently registered with, Aegis Capital Corp. [read post]
20 Jun 2019, 9:19 am
From November 2011 until May 2012 Sherrer was associated with Investors Capital Corp. [read post]
19 Jun 2012, 12:10 pm
This resulted in it conducting a securities business without the required net capital for four months so that the firm's books and records and Financial and Operational Combined Single (FOCUS) filings were inaccurate. [read post]
5 Feb 2016, 6:15 am
One such issuance is Adageo Energy Partners, LP which according to SEC filings sought to raise $50 million and raised at least $31 million of that amount through brokerage firms including Direct Capital Securities, Inc., Madison Avenue Securities, Inc., WFP Securities, Inc., Arete Wealth Management, LLC, Newbridge Securities Corporation, Charter Pacific Securities, LLC, ePLANNING Securities, Inc., Sunset Financial Services, Inc., Jesup & Lamont Securities… [read post]
4 Jun 2012, 10:58 am
One trust, called Fundy, owned the shares of one new holding company. [read post]
1 Feb 2019, 10:51 am
Corp. [read post]
7 Mar 2011, 12:17 pm
In a 2005, as one executive admitted in an e-mail, Medical Capital, which had issued $1.7 billion of securities, lacked audited results. [read post]
20 Apr 2010, 7:31 pm
” asked Beal, owner and CEO of Beal Financial Corp. [read post]
