Search for: "Barclays Capital"
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1 Jul 2019, 12:43 pm
According to FINRA Disciplinary actions for June 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Andrews, Helen Morgan Stanley Barclays Capital Inc Andreyeva, Tatyana Westpark Capital, Inc Fordham Financial Management, Inc Basarian, Gary Royal Alliance Associates, Inc … [read post]
27 Jun 2019, 6:14 am
In the Matter of the Arbitration Between Barclays Capital, Inc., Claimant, v.... [read post]
24 Jun 2019, 7:44 pm
At a portfolio level, insurers of directors and officers can estimate a narrower range of capital outlay for these long-tail claims with econometric information that proves the absence of indirect price impact. [read post]
19 Jun 2019, 2:39 am
See Barclays Capital Inc. v. [read post]
5 Jun 2019, 3:00 am
Large publicly traded companies such as Cisco, GSK, Barclays and Unilever, along with some state pension funds and global investment firms, are among the members of FCLT, an acronym for Focusing Capital on the Long Term. [read post]
3 May 2019, 10:07 am
CANADA Stephen Poloz, the Governor of the Bank of Canada, announced on 30 April 2019 that “[t]he Canadian economy is currently facing some headwinds headwinds, but there is good reason to believe that the economy will accelerate in the second half of this year”. [read post]
29 Apr 2019, 12:55 pm
The Puerto Rico Government Employees and Judiciary Retirement Systems Administration, a pension plan for retirees of the U.S. territory’s government, has filed a proposed securities class action in federal court against Bank of America (BAC), Goldman Sachs (GS), Citigroup (C), Barclays Capital, Inc. [read post]
21 Feb 2019, 2:04 pm
(WFC), Barclays Plc (BAR), JPMorgan Chase & Co. [read post]
4 Feb 2019, 6:28 am
Optimism for 2019 though is strong with Barclays anticipating USD 400-420bn of loan issuance connected with merger, acquisition and buyout financing whilst also predicting that the credit cycle will not end in 2019 or even at the start of 2020. [read post]
11 Jan 2019, 8:41 am
Previous employment included Merrill Lynch, Pierce, Fenner & Smith Inc. from November 2009 to May 2016 and Barclays Capital Inc. from April 2002 to September 2002. [read post]
31 Dec 2018, 1:04 pm
(GS), Barclays Plc (BARC), Bank of America Corp. [read post]
3 Dec 2018, 11:27 am
It was just earlier this year that Euribor investors arrived at $309M settlement over allegations that Barclays PLC (PLC), Deutsche Bank AG (DB), and HSBC Holdings Plc. [read post]
7 Nov 2018, 8:46 am
Tune in this time next week to find out whether the court will be adding to its capital docket. [read post]
16 Aug 2018, 5:48 pm
ETF Fraud Lawsuit Seek Damages from Elkhorn Capital Group Founder Keystone Associates LLC and Mountain Partners LLC, two companies based in Utah, are now suing ex-Elkhorn Capital Group CEO and founder Benjamin Fulton for fraud. [read post]
29 Jun 2018, 7:48 am
Previous registrations include Merrill Lynch and Barclays Capital. [read post]
17 May 2018, 12:45 pm
Among the customers that were harmed: Citigroup Global Markets (C), Barclays Capital (BARC), Goldman Sachs (GS) Asset Management, Merrill Lynch Wealth Management, Morgan Stanley (MS), and others. [read post]
4 May 2018, 7:19 am
In addition to his current registration with Stifel, Nicolaus & Company, he is also currently registered with Barclay’s Capital since 9/2008. [read post]
20 Apr 2018, 10:35 am
Following the law and rules concerning initiating and completing capital construction projects.4. [read post]
6 Apr 2018, 12:46 pm
He was previously registered with Barclays Capital, also located in Palm Beach. [read post]
6 Apr 2018, 5:00 am
The victims in this case include American Express, Bank of America, Barclays, Capital One, Chase Bank, Citigroup, Discovery and US Bank. [read post]
