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6 Aug 2017, 1:57 pm
Group, Inc. v. [read post]
6 May 2009, 1:11 am
"From 1984 to 1994, Lefkowitz was President of Cit-Equity Group, Inc. [read post]
20 May 2019, 9:11 am
PLS Financial Services, Inc., however, a federal district court and the Fifth Circuit reached the opposite conclusion in a proposed class action presenting the very same litigation waiver question under almost identical factual circumstances, 689 Fed.Appx. 800 (5th Cir. 2017) (per curiam).How should these cases be counted? [read post]
13 Nov 2007, 8:15 am
Related Web Resources: FINRA Fines Oppenheimer $1 Million, Associated Press/Forbes, October 30, 2007 Oppenheimer & Co Inc. [read post]
4 Oct 2011, 7:21 am
One example: condominium lender Corus Bank, a unit of Corus Bankshares Inc. that failed in 2009. [read post]
18 Mar 2010, 7:21 pm
The Tillmans allegedly used the pretense that some of the transfers were non-taxable loans, then used the funds to invest in real estate through the payment of earnest money deposits, closing costs and monthly mortgage payments, as well as for other purposes. [read post]
28 Apr 2008, 3:32 pm
Bond investors such as Pacific Investment Management Co. and Capital Research & Management Co. may pay the price for allowing themselves to be subordinated to junk-rated companies, which borrowed a record $2.2 trillion in bank loans over the past three years. [read post]
19 Aug 2022, 7:33 am
FINRA routinely bars members who improperly take loans or otherwise takes money from customers. [read post]
23 Mar 2018, 7:41 am
The statute of limitations in the Illinois Securities Law barred common law fraud claims against the controlling stockholder of now-defunct electric car manufacturer Fisker Automotive Holdings, Inc. [read post]
1 Sep 2015, 8:11 am
RBS Asset Finance, Inc., Larry created a trust, and then died. [read post]
23 Sep 2016, 4:30 am
An example is Quicken Loans, Inc., 359 NLRB No. 141 (June 21, 2013), where an administrative law judge found that a similar provision would have a chilling effect on employees who wanted to discuss working conditions. [read post]
29 Apr 2009, 4:19 pm
As of April 28, the Making Home Affordable website listed the following servicers as having executed HAMP contracts: Bank of America, N.A.; Chase Financial LLC; CitiMortgage, Inc.; Countrywide Home Loans Servicing LP; GMAC Mortgage LLC; Home Loan Services, Inc.; Ocwen Financial Corporation, Inc.; Saxon Mortgage Services; Select Portfolio Servicing; Wells Fargo Bank, N.A.; and Wilshire Credit Corporation. [read post]
25 Jun 2012, 2:56 am
Lovino, Inc. v Lavallee Law Offs. [read post]
29 Jul 2024, 6:57 am
Away-from-market Stock Loan Transactions In 2007, NYSE Regulation, Inc. censured and fined Janney Montgomery Scott LLC $2.5 million for engaging in improper stock loan transactions and related supervisory deficiencies. [read post]
22 Feb 2022, 1:58 pm
FINRA routinely bars members who improperly take loans or otherwise takes money from customers. [read post]
1 Jun 2020, 9:14 am
Before working for Kovack, Wetherell was a registered representative of Invest Financial Corporation (CRD# 12984) and Investacorp, Inc. [read post]
28 Mar 2011, 7:02 pm
Madoff Investment Securities Inc., 08-01789, U.S. [read post]
7 Dec 2018, 4:05 am
These efforts later proved to be unsuccessful and “Debtors had significant difficulties getting financing because they had invested so little of their own money in the [P]roject, thus making traditional lenders unwilling to bankroll the project. [read post]
14 Feb 2018, 4:00 am
"It is also unclear how the licensing (by the City of Hope) of a discovery to a New York-based company, Mustang Bio, Inc., will generate jobs and investment in California, as proponents of CIRM originally promised voters. [read post]
27 Mar 2007, 7:35 am
It is accusing Goldman of violating the rules that mandate that brokers must mark sales short or long, while restricting stock loans on long sales. [read post]
