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15 Nov 2011, 5:30 pm
The SEC is considering implementing a floating NAV that moves away from the pre-established 1USD mark which may reflect the risk level more realistically. [read post]
11 Nov 2011, 3:48 pm
Significant deficiencies with UBS aggregation units were also believed to be factors resulting in locate violations and order-marking. [read post]
31 Oct 2011, 9:53 am
The SEC also found that this marked the third time in eight years that an employee of FINRA or its predecessor provided altered or misleading documents to the Commission. [read post]
31 Oct 2011, 6:35 am
Editor’s Note: Mark Roe is the David Berg Professor of Law at Harvard Law School, where he teaches bankruptcy and corporate law. [read post]
28 Oct 2011, 2:59 am
., 2006 WL 1379594 at *4 (citation and internal quotation marks omitted). [read post]
27 Oct 2011, 12:30 pm
Brewer Blvd., Queens Robert Bell Pelham Parkway Houses, 948 Mace Ave., 4th fl., Bronx Rockim Britt Brevoort Houses, 300 Bainbridge St., 5th fl., Brooklyn Elijah Frazier Woodside Houses, 31-60 51st St., 1st fl., Queens Michael Glasper Ocean Bay Apartment Houses, 54-22 Beach Channel Dr, 2nd fl., Queens Lawrence Harvey Pink Houses, 1305 Loring Ave., 8th fl., Brooklyn Kevin Jenkins Morris Houses, 1480 Washington Ave., 8th fl., Bronx Maxie Leak a/k/a Rejuhn Young Reid Young… [read post]
25 Oct 2011, 6:35 pm
FINRA also claims that “significant deficiencies” involving UBS’s aggregation units could have played a role in more locate violations and significant order-marking. [read post]
21 Oct 2011, 7:48 am
The $100 million mark is often considered the threshold for a “large” company. [read post]
17 Oct 2011, 1:38 pm
Although UBS marked these trades for further investigation because of the reports from its compliance department, the firm did not do enough given the nature of the warnings. [read post]
15 Oct 2011, 4:43 am
When Klein explained that Romer was pulling data from sources that included the Federal Reserve and Mark Zandi of Moody’s Analytics… honestly, I got the chills. [read post]
13 Oct 2011, 7:55 am
” Or more precisely–name one institution that failed (or would have failed) because it was so intertwined with Lehman Brothers that it was unable to sustain Lehman brothers collapse. [read post]
8 Oct 2011, 8:13 am
Let’s consider the latest Norquist/Limbaugh memes as the protest nears the one-month mark: 1) “They’re just spoiled hippies who can’t get a job. [read post]
8 Oct 2011, 8:13 am
Let's consider the latest Norquist/Limbaugh memes as the protest nears the one-month mark: 1) "They're just spoiled hippies who can't get a job. [read post]
23 Sep 2011, 6:21 pm
Lehman Bros. went bankrupt and Treasury Secretary Paulson said we had to start handing over hundreds of billions in taxpayer dollars to our nation’s bankers, among others? [read post]
16 Sep 2011, 6:30 am
Certainly that would make ‘prominent doomsayer’ Meredith Whitney happy – and it might be good for the country as a whole, in much the same ghoulish way the Lehman Brothers bankruptcy had a silver lining, in that it would test the 1988 Chapter 9 bondholder-protection amendments. [read post]
15 Sep 2011, 8:44 am
As discussed here, the Wall Street Journal reported that "SEC General Counsel Mark Cahn issued a memo to Division of Enforcement staff telling them to stop existing record-destruction procedures for closed cases, until further notice. [read post]
14 Sep 2011, 2:39 pm
Proceedings Magazine – September 2011 Vol. 137/9/1,303 By John Lehman. [read post]
SEC General Counsel Instructs Division of Enforcement to Stop Existing Record-Destruction Procedures
9 Sep 2011, 7:43 am
Iowa) asked SEC Chairman Mary Schapiro whether the Commission destroyed files relating to some of its more high-profile and controversial matters, such as its investigations of Bernie Madoff, Goldman Sachs, Bank of America, Lehman Brothers and others. [read post]
8 Sep 2011, 4:34 am
(h/t Mark Perry)This feed originates at the personal blog of Scott Lincicome (http://lincicome.blogspot.com). [read post]
28 Aug 2011, 2:42 pm
That mysteriousness was the thing that made Lehman’s collapse turn instantly into a systemic crisis. [read post]
