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3 Feb 2009, 5:57 am
., AIG Financial Products Corp., UBS AG, and Piper Jaffray & Co. [read post]
18 Jul 2008, 4:26 pm
The complete list of firms for which there can be no naked short selling follows: BNP Paribas Securities Corp. [read post]
28 Apr 2022, 4:00 am
I worked with Cecilia in the Office of Chief Counsel and she was a wonderful colleague and a great mentor to the attorneys in Corp Fin. [read post]
1 Dec 2011, 12:46 pm
CORP. [read post]
25 Aug 2007, 11:24 am
Centerior Energy Corp Northern District of Ohio at ClevelandALICE M. [read post]
7 Mar 2012, 8:22 am
The men, along with Hector Xavier Monsegur, allegedly formed an offshoot group from the hacker group Anonymous known as Internet Feds in December 2010, allegedly carrying out hacks of online security firm HBGary Inc., Irish political party Fine Gael and News Corp. [read post]
27 Mar 2010, 7:16 am
United States (The Pentagon Papers), Times Film Corp v. [read post]
2 Apr 2009, 2:02 pm
Two recent FINRA enforcement cases stand out, and are worthy of our discussion.First, according to a FINRA press release, a Hearing Panel fined Mutual Service Corp. more than $1.5 Million for supervisory violations and falsifying documents relating to exchanges of variable annuities. [read post]
10 Mar 2010, 8:36 am
E*Trade Securities, LLC, Case No. 004579/2010), alleging that the Menlo Park, Calif. [read post]
27 Mar 2010, 9:02 am
Nigam [former federal prosecutor and Chief Security Officer at News Corp.] said these monitors give high priority to obscene photos and to postings about suicide or runaways and alert the authorities when they find them. [read post]
4 Nov 2009, 2:15 am
Avalon Funding Corp. [read post]
4 Dec 2013, 4:34 am
Fixing the Securities Laws: Removing Obstacles to Recognizing LGBT Partnerships In the SEC's rules & forms, by only referring to spouses - which is defined to mean only married couples - the securities laws disqualifies couples in civil unions or domestic partnerships in 15 states across the country. [read post]
26 Feb 2010, 5:00 am
Rakoff Backs BofA Accord, Unhappily By DAN FITZPATRICK, KARA SCANNELL And CHAD BRAY in the Wall Street Journal A federal judge harshly criticized but approved a $150 million settlement Monday between Bank of America Corp. and the Securities & Exchange Commission, resolving claims the bank should have disclosed billions in losses at Merrill Lynch & Co. before it was acquired by the bank. [read post]
24 Apr 2024, 12:17 pm
., Bank of America Corp. and Citigroup Inc. [read post]
5 Oct 2018, 8:40 am
Risk Management – How Can Privacy Officers Ensure They Have the Correct Security Policies in Place? [read post]
6 Jul 2022, 2:16 pm
EverWatch provides software, AI, machine learning and other technological services to national security agencies. [read post]
22 Jun 2014, 1:28 pm
Trust and security is a must in all relationships. [read post]
22 Jun 2014, 1:28 pm
Trust and security is a must in all relationships. [read post]
11 Dec 2009, 2:08 am
Banc of America Securities LLC Subscription Required U.S. [read post]
29 Nov 2010, 10:37 am
In that case, the Delaware Supreme Court held that the internal affairs doctrine trumps a California statute, Corp. [read post]
