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23 Aug 2019, 2:07 am
SEC and CFTC Charge Options Clearing Corp. [read post]
14 Mar 2012, 7:08 am
In December, Tony Pizelo, Pacific West's chief executive, announced that the firm had entered into a deal to move its brokers to Multi-Financial Securities Corp. prior to Pacific West's expected closure this month. [read post]
7 Apr 2017, 3:00 am
Segregated Account of Ambac Assurance Corp., 673 F.3d 169 (2nd Cir., 2012) , where the Second Circuit agreed with the district court that the securities exception did not apply if the trustee’s conduct in approving the settlement must also be evaluated under some source of law other than laws, such as New York’s common law of trusts. [read post]
10 Jan 2011, 1:16 am
According to the disclosure statement filed with the plan, these debtors have no secured or non-tax priority claims outstanding, but do have approximately $200 million in outstanding general unsecured claims, $50 million in outstanding revenue bond claims, and $250 million in outstanding subordinated note claims. [read post]
15 Mar 2013, 4:49 am
State Bank and Trust Company (In re Solid Rock Development Corp., Inc.), Ch. 7 Case No. 10-72777, Adv. [read post]
21 Sep 2011, 12:12 am
This means that the brokers that purchase securities on behalf of investors typically are listed as the holders of record. [read post]
25 Jan 2022, 2:30 am
FS KKR Capital Corp. [read post]
6 Aug 2010, 7:42 am
Door Automation Corp., a security guard at Lincoln Center was injured when a metal arm from a large motorized door broke free and struck him in the head. [read post]
3 Oct 2011, 4:15 pm
Pension Trust Corp. [read post]
10 Nov 2017, 7:37 am
FINRA sanctions Ameritas Investment Corp. for Supervision Lapses According to reports, The Financial Industry Regulatory Authority (FINRA) has censured and fined Ameritas Investment Corp. [read post]
14 Aug 2014, 5:00 am
CVS Caremark Corp. [read post]
3 Feb 2022, 1:47 pm
On December 10, 2020, Forum Merger III Corp. announced its plans to merge with Electric Last Mile, Inc. [read post]
30 Dec 2020, 12:27 pm
LOCAL NEWS Update: WIVB.com identified the victim in the shooting as “Marine Corps Veteran Jacob Von Gunden. [read post]
22 Jan 2011, 10:54 am
Bank of America Corp. [read post]
FINRA Bars John Edgar Simmons, Jr. After Allegations Of Engaging In A Private Securities Transaction
7 Oct 2021, 12:31 pm
He was previously employed with Investors Capital Corp. [read post]
1 Jun 2010, 2:52 pm
When Peak Securities did not show up to defend the claim arising from the purchase of notes offered by Medical Provider Funding Corp., the investor won a $400,000 FINRA arbitration award. [read post]
16 Jun 2008, 2:34 pm
Presumably that is because the offer is "partial" and Rule 14d-11 requires that the offer be for "all outstanding" securities of the class sought and the bidder must "accept and promptly pay for all securities" tendered during the initial offering period upon the close of the initial offering period. [read post]
22 Sep 2010, 9:49 am
Therefore, whilst December 2010 was set as the EEAS’s original launch date (the first anniversary of the ratification of the Lisbon Treaty), it will likely be well into the New Year before the Diplomatic Corps is finally unveiled. [read post]
25 Oct 2011, 5:00 am
Defendant John Malone (“Malone”), a Discovery director and Chairman of Liberty Media Corp. and Liberty Global Inc., engaged in ten purchases of Series A stock and nine sales of Series C stock between December 5, 2008 and December 17, 2008. [read post]
2 Sep 2011, 3:14 pm
Merrill Lynch & Co. / First Franklin Financial Corp. [read post]
