Search for: "Wall Street Financial Corporation"
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15 Sep 2016, 3:40 am
Wall Street Journal. [read post]
12 Sep 2016, 12:46 pm
Pursuant to section 620 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), which requires the trio of federal banking agencies to conduct the study and report their findings to Congress, the report considers financial, operational, managerial and reputational risks associated with the permissible activities or investments and how banking entities work to mitigate those risks. [read post]
11 Sep 2016, 1:48 pm
I also noted that such investments would offer risk not correlated to other instruments, a big factor cited in Litigation Funding Moves Into Mainstream, Wall Street Journal, 5 August 2016. [read post]
9 Sep 2016, 9:21 am
CFPB is authorized by the Dodd-Frank Wall Street Reform and Consumer Protection Act [text, PDF] to take action against those who violate consumer financial laws. [read post]
9 Sep 2016, 6:26 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]
9 Sep 2016, 6:25 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]
7 Sep 2016, 11:38 am
Private arbitration is no alternative to a day in court, because corporations effectively control the process, including the choice of the arbitrator and the rules of evidence… That insult is a sign that opponents have no good arguments. [read post]
5 Sep 2016, 6:30 am
The large litigation financing firms have substantial assets out of which to invest; according to the Wall Street Journal (here), Burford Capital LLC has already invested $800 million in the U.S. and abroad; Gerchen Keller has deployed $700 million of the $1.4 billion it has raised. [read post]
4 Sep 2016, 6:56 am
In May 2016 the Department of Justice (DOJ) filed a five-count indictment in New York against nine defendants including Jared Mitchell, the Managing Partner of Mitchell & Sullivan Capital LLC; Richard Brown, a registered broker with Chelsea Financial Services; Christopher Castaldo, the Chief Executive Officer of Stock Traders Press Inc. and the President of Wall Street Buy Sell Hold Inc.; Gerald Cocuzzo, also known as “Gerry,” a registered broker formerly… [read post]
31 Aug 2016, 8:34 am
“Accurate disclosures about financial advisers’ fairness opinions are important to shareholders in the sale of a corporation,” said Andrew J. [read post]
29 Aug 2016, 7:10 am
Scholars, such as the Rand Corporation’s Christopher Paul and the National Defense University’s Frank Hoffman have argued that as often understood, the term fails to capture the essence of anything truly unique. [read post]
26 Aug 2016, 6:05 am
The profound effects of political decisions on corporate performance and stock prices are evidenced by recent government policies and actions such as the bailouts of AIG and Bear Stearns, the Dodd-Frank Wall Street Reform and Consumer Protection Act, and the Affordable Care Act. [read post]
23 Aug 2016, 8:08 am
They face enormous odds in a rigged system that protects powerful financial interests on Wall Street. [read post]
17 Aug 2016, 9:30 pm
However, I organize my class differently by focusing more on Main Street instead of Wall Street firms and by providing students a skill-set for employment at graduation, or one to three years afterwards, in an in-house legal or compliance setting. [read post]
11 Aug 2016, 4:02 am
More on “Study: Highest-Paid CEOs Actually Run Some of the Worst-Performing Companies” Here’s a note from Pearl Meyer’s Dave Swinford in response to this blog that I ran on CompensationStandards.com’s “The Advisors’ Blog”: A recent Wall Street Journal article proclaimed, “Best-Paid CEOs Lag in Results, Study Says. [read post]
3 Aug 2016, 1:33 pm
They would define these new claims as recoveries, in order to meet their Wall Street projections. [read post]
3 Aug 2016, 1:00 pm
Recognizing the urgent need to address these troubling practices, Congress passed the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) in 2010 to improve accountability, strengthen the financial system, and establish the CFPB. [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]
1 Aug 2016, 9:42 pm
The U.S. [read post]
1 Aug 2016, 9:30 pm
In a new book, Selling Hope, Selling Risk: Corporations, Wall Street and the Dilemmas of Investor Protection, I explore the role of self-deception in affecting compliance with financial regulation, especially securities law. [read post]
