Search for: "Financial Asset Securities Corp.,"
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28 May 2015, 4:00 am
; no clear definition and practice as to what is the “deletion” of a record such that, e.g. records may or may not continue to exist in backup storage thus diminishing knowledge of the extent of records holdings and their control; changes in technology have resulted in unaccounted for, and undocumented changes in records practice; no consistent practice as to other forms of communication that create records, e.g., video and audio recordings, instant messaging, cellphone (mobile)… [read post]
26 May 2015, 10:09 am
(“Quadrant”), owned debt securities issued by defendant Athilon Capital Corp. [read post]
18 May 2015, 3:48 am
We note that Sowers’ alleged concealment of financial information does not warrant a finding that demand was futile, since “[a] corporation’s refusal to provide information to its shareholders is not on the [] list of circumstances where demand is excused” (Wyatt v Inner City Broadcasting Corp., 118 AD3d 517, 517 [1st Dept 2014]). [read post]
11 May 2015, 5:41 pm
Athilon suffered significant losses during the financial crisis. [read post]
11 May 2015, 2:37 pm
Reverse Convertible Note Linked to Corning Inc. 144A 16.3% JPMorgan Chase & Company Structured Investments B/E Linked to Marathon Oil Corp. 17% If you have questions about a structured product or reverse convertible note sold to you by your financial professional, the securities attorneys of The White Law Group may be able to help. [read post]
23 Apr 2015, 1:24 pm
See also In re Rural/Metro Corp. [read post]
6 Mar 2015, 7:05 am
American Eagle Energy’s first-lien bonds, which are secured by its assets, fell 10.25 cents to 31.75 cents on the dollar at 4:23 p.m. in New York, according to Trace, the bond-price reporting system of the Financial Industry Regulatory Authority. [read post]
20 Feb 2015, 3:19 pm
According to Jason Muskey’s BrokerCheck Report he worked in Pennsylvania with MetLife Securities from 01/2003 – 12/2005, Carillon Investments from 01/2006 – 06/2006, and most recently with Ameritas Investment Corp from 06/2006 – 06/2014. [read post]
3 Feb 2015, 3:58 am
The SEC’s funding comes from securities transaction fees and does not impact the federal deficit or the funding available for other agencies. [read post]
2 Feb 2015, 3:07 am
In the alternative, the petitioner requested an order requiring the respondents to post a bond or other security in an amount sufficient to secure petitioner for the fair value of his shares, pursuant to BCL § 1118 [c] [2]. [read post]
30 Jan 2015, 5:22 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker Michael Evangelista (Evangelista) concerning allegations that between 2006 and 2011, Evangelista referred approximately six of his firm customers to invest in real estate securities issued by ABC Corp. [read post]
7 Jan 2015, 6:00 am
The Delaware courts have issued a number of decisions in the past several years, including In re Rural Metro Corp. [read post]
6 Jan 2015, 10:09 am
To the extent that you purchased the investment at the recommendation of a financial advisor, the securities attorneys of The White Law Group may be able to help you recover your losses through a FINRA arbitration claim. [read post]
17 Dec 2014, 8:10 am
Money Concepts Capital Corp. [read post]
29 Nov 2014, 5:25 am
Demarest cited it as precedent for her ruling in Novikov v Oceana Holdings Corp., 2014 NY Slip Op 24332 [Sup Ct, Kings County Nov. 3, 2014], granting a close corporation minority shareholder’s petition to inspect an array of financial and corporate records to investigate possible wrongdoing by the controlling shareholders. [read post]
16 Nov 2014, 7:37 am
White & Co., First America Equities Corp., Augusta Securities Corp., Suntrust Equitable Securities, J.C. [read post]
3 Nov 2014, 6:58 am
No need to violate securities laws to comply with ERISA. [read post]
30 Oct 2014, 7:45 am
In the wake of the financial crisis of 2008, the Dodd-Frank legislation authorized the Securities Exchange Commission (SEC) to pass a fiduciary duty rule that would apply to brokers, as opposed to only financial advisors. [read post]
27 Oct 2014, 9:59 am
Defendant Athilon Capital Corp. [read post]
8 Oct 2014, 3:37 pm
The Securities Industry and Financial Markets Association’s amicus brief argued that turning a New York bank branch into a “portal” for global judgment enforcement could diminish New York’s attractiveness as a financial center and overburden the court system in New York with enforcement actions involving foreign assets. [read post]
