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20 Sep 2014, 1:06 pm
· Michel Foucault, Security, Territory, Population, Lectures at the Collège de France 1977-1978. [read post]
16 Sep 2014, 8:36 pm
The merger later was completed, but the SEC filed a complaint against the company for filing false financial reports for a series of years. [read post]
15 Sep 2014, 4:26 am
Nomura Asset Acceptance Corp. [read post]
Financial Advisor Sanctioned Over Allegations of Unsuitable Overconcentrations of Private Placements
26 Aug 2014, 5:26 am
Lard entered the securities industry in 1994 and was associated with QA3 Financial Corp. [read post]
20 Aug 2014, 5:40 am
A Forbes article tracked the fundraising efforts made by several DBCs issued by FS Investment Corp. [read post]
12 Aug 2014, 12:10 pm
Regions Financial Corp., No. 12:14168 (Aug. 6, 2014), the Eleventh Circuit reviewed the certification of a securities fraud class action brought by investors against Regions for allegedly misrepresenting its asset value and financial stability during the financial crisis, purportedly resulting in artificially high stock prices. [read post]
28 Jul 2014, 3:58 pm
The Subcommittee focused on options involving two of the largest basket option users, Renaissance Technology Corp. [read post]
7 Jul 2014, 8:35 am
“Indeed, the presence of any circumstance placing the transferee on inquiry as to the financial condition of the transferor may be a contributing factor in depriving the former of any claim to good faith unless investigation actually disclosed no reason to suspect financial embarrassment. [read post]
30 Jun 2014, 8:58 am
The trustee will learn of the transfer because the debtor is required to report it in item 10 of the Statement of Financial Affairs. [read post]
25 Jun 2014, 7:35 pm
Iqbal, and Bell Atlantic Corp. v. [read post]
25 Jun 2014, 6:57 am
The couple filed an arbitration claim against First Allied Securities Inc., the firm that Lucia was associated with. [read post]
23 Jun 2014, 7:47 am
One broker with AIG company, FSC Securities Corp., allegedly cold-called employees of UPS according to a June 2013 complaint. [read post]
9 Jun 2014, 7:51 am
In January 2009, Pulaski Financial Corp., Creve Coeur, Mo., the parent company of Pulaski Bank, received approximately $32.5 million in federal taxpayer funds through the U.S. [read post]
21 May 2014, 6:36 am
” According to the Investment News survey, the top ten independent broker-dealers with the most growth from alternative investments include: (1) Independent Financial Group; (2) Triad Advisors; (3) Royal Alliance Associates; (4) National Planning Corp.; (5) First Allied Securities; (6) Lincoln Financial Network; (7) Cambridge Investment Research; (8) Commonwealth Financial Network; (9) Ameriprise Financial Services; 10) LPL… [read post]
21 May 2014, 4:53 am
In line with the deal made with Patriot, Hilco Financial was required to file written appraisals and reports making sure that the Patriot recipients of the asset-based loans were fully secured. [read post]
14 May 2014, 7:02 am
Authentidate Holding Corp., 369 Fed. [read post]
6 May 2014, 9:17 pm
HTFC did not possess assets to fund these loans but relied on funding from other banks and financial institutions, commonly known as “warehouse lenders. [read post]
6 May 2014, 4:26 pm
The cyber threat is much broader than customer data privacy as addressed by the Securities and Exchange Commission’s Regulations S-P (regarding privacy of consumer financial information) and S-ID (regarding identity theft). [read post]
6 May 2014, 8:46 am
Counsel to the purchaser of assets in In re Nutritional Sourcing Corp., et al. [read post]
6 May 2014, 8:43 am
Bauer-Álvarez represented BMJ Foods Puerto Rico, Inc. in its opposition to the confirmation of a Chapter 11 Plan before the Bankruptcy Court for the District of Delaware, in the case of In re Metromedia Steakhouses Company, Inc. and Banco Popular de Puerto Rico, in its capacity as Indenture Trustee, in the bankruptcy case of bank holding company in In re R&G Financial Corp., Case No. 10-04124. [read post]
