Search for: "Wall Street Financial Corporation"
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10 Feb 2014, 6:11 am
HrynewCivil law: The individual respondent, Larry Hrynew, and corporate respondent, Canadian American Financial Corp., were found liable of civil conspiracy against the respondent, Harish Bhasin, by the Alberta Court of Queens’ Bench. [read post]
10 Oct 2013, 1:39 pm
At the time, the Wall Street Journal revealed that Thomson had bumped fellow executives at Citigroup from a return flight so he could fly alone with Bartiromo. [read post]
31 May 2014, 7:06 am
Federal Bureau of Investigation and the Securities and Exchange Commission are investigating possible insider trading involving billionaire investor Carl Icahn, golfer Phil Mickelson and Las Vegas gambler William Walters, a source familiar with the matter said.Federal investigators are looking into whether Mickelson and Walters may have traded illegally on private information provided by Icahn about his investments in public corporations, the source told Reuters, confirming a report by the… [read post]
23 Feb 2014, 8:15 pm
Kanga Kong, South Korea, Russia to Create $500 Million Joint Investment Fund, Wall Street Journal MoneyBeat, 13 Nov. 2013. [read post]
24 Mar 2008, 5:34 pm
This allowed the Wall Street firm to acquire the faltering Bear Stearns. [read post]
16 Nov 2010, 6:15 am
As discussed in this prior post, the Dodd-Frank Wall Street Reform and Consumer Protection Act requires that companies include in their proxy statements not less frequently than every six years “a separate resolution subject to shareholder vote to determine whether votes on the resolutions required under paragraph (1) [the advisory vote on executive compensation] will occur every 1, 2, or 3 years. [read post]
15 Oct 2011, 4:43 pm
" Yet, despite that limited remit, the Council has decided to speak out in support of the Occupy Wall Street movement: The social movement known as Occupy Wall Street (OWS) is growing and raising issues of direct relevance to the faculty, students and staff of the University of California, including contracting opportunities and increasing debt loads for our students created by a system of privatized education and a refusal to provide high quality… [read post]
23 Feb 2023, 9:01 pm
From 2019 to present, to combat spoofing, we have brought seven corporate cases totaling more than $1 billion in criminal monetary penalties, and secured convictions of 12 former traders at Wall Street financial institutions. [read post]
2 Aug 2016, 4:03 pm
Section 342 of the Dodd-Frank Wall Street Reform and Consumer Protection Act required the federal financial regulatory agencies to establish an Office of Minority and Women Inclusion (OMWI) and instructed the OMWI Director at each agency to develop standards for assessing the diversity policies and practices of its regulated institutions. [read post]
3 Feb 2017, 6:30 am
However, FINRA’s records are not always complete according to a Wall Street Journal story that checked with 26 state regulators and found that at least 38,400 brokers had regulatory or financial red flags such as a personal bankruptcy that showed up in state records but not on BrokerCheck. [read post]
12 Mar 2009, 12:10 pm
Bernard Madoff pled guilty this morning to all charges in the criminal complaint against him in the Southern District of Georgia and United States District Judge Denny Chin accepted the plea, as reported at the Wall Street Journal Law Blog and elsewhere. [read post]
30 Aug 2024, 3:30 am
Here’s an anecdote from the Wall Street Journal that you might find very exciting or very scary, depending on your perspective: At a recent bank board meeting, directors were treated to a surprise. [read post]
7 Oct 2008, 11:12 pm
But also I infer it from the lowest-single ranking selection, seeing no fundamental change in demand "because the 'primary' demand" comes from the underlying corporate economy, not Wall Street. [read post]
7 Oct 2015, 7:26 am
However, FINRA’s records are not always complete according to a Wall Street Journal story that checked with 26 state regulators and found that at least 38,400 brokers had regulatory or financial red flags such as a personal bankruptcy that showed up in state records but not on BrokerCheck. [read post]
30 Jan 2016, 12:30 pm
However, FINRA’s records are not always complete according to a Wall Street Journal story that checked with 26 state regulators and found that at least 38,400 brokers had regulatory or financial red flags such as a personal bankruptcy that showed up in state records but not on BrokerCheck. [read post]
18 May 2010, 1:38 pm
What we are witnessing is one of the major moments in Wall Street history, and the case is indicative of the lingering effects of the recent mortgage crisis. [read post]
25 Feb 2021, 9:00 am
Henry speculated that in current times, Wall Street will naturally argue that the STT would ruin middle class lives because Wall Street does not want to give up the immense gravy train it receives on fees extracted from New York pension funds—the STT would curb these extractions to Wall Street’s chagrin.Lastly, Public Citizen claimed many of the coalition groups arguments for the STT such as raising revenue through investment in… [read post]
7 Feb 2011, 10:59 am
On January 25, 2011, the SEC proposed new amendments to conform the definition of “accredited investor” under Rule 215 of the Securities Act of 1933 and Rule 501 of Regulation D to requirements imposed by Congress under the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”). [read post]
16 Sep 2007, 2:27 pm
Eliot Spitzer, to investigate corruption on Wall Street, sent subpoenas late Friday to the top executives of the five companies, seeking internal documents. [read post]
13 Apr 2011, 9:04 pm
” The Wall Street Journal Reports that: The inquiry, led by the U.S. [read post]
