Search for: "Matter of Financial Corp."
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5 Aug 2022, 4:15 am
We continue to see comments from the Staff that are very much focused on this topic, and the WSJ recently reported on Corp Fin’s efforts in this area using data from Audit Analytics. [read post]
29 May 2013, 10:57 am
To make matters worse, according to Investment News, Commonwealth Capital Securities Corp., owner and chief executive, Kimberley Springsteen-Abbott, has been accused by the Financial Industry Regulator Authority (FINRA) of misusing approximately $345,000 of investors money between 2008 and 2012. [read post]
14 Oct 2015, 7:00 am
We have decades of experience in securities litigation matters, including the defense of enforcement actions. [read post]
23 Mar 2012, 2:33 pm
Cordis Corp., C.A. [read post]
18 Nov 2019, 10:35 am
The Court found Google’s use of Java application programming interface (‘API packages’) not fair as a matter of law, reversing the district court’s decision on the matter. [read post]
25 Jun 2021, 9:48 pm
Earlier this week, an SEC enforcement action, In the Matter of First American Financial Corp. [read post]
18 Jun 2013, 11:16 am
Morton has been hired as Senior Vice President of Capital One Financial Corp. heading compliance starting this August. [read post]
11 Sep 2014, 4:27 am
In the Matter of Xiao Yun Yu, Respondent (2012034383201, September 9, 2014).In 2010, Yu became registered with FINRA member firm Chase Investment Services Corp. [read post]
18 Jun 2013, 11:16 am
Morton has been hired as Senior Vice President of Capital One Financial Corp. heading compliance starting this August. [read post]
5 Aug 2013, 4:06 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in March 2012, Claimants asserted causes of action including breaches of contract and fiduciary duty, negligence, and negligent supervision in connection with their investments in Jones Soda Co., Nektar Therapuetics, Poniard Pharma, Inc. and Helices Bioscience Corp. [read post]
14 Jan 2014, 9:55 am
Metlife alleged that "the '189 patent is directed to an abstract idea -- using a computer to generate a quote for a financial product product-- and is thus non-patentable subject matter." [read post]
22 Oct 2013, 5:00 am
We have decades of experience in securities litigation matters, including the defense of enforcement actions. [read post]
22 Apr 2021, 1:00 am
On April 14, 2021, the New York Department of Financial Services (NYDFS) announced a $3 million settlement with insurance company National Securities Corp. [read post]
25 May 2012, 7:29 am
Here, the Second Circuit held that such causal link was severed where indications of CBS’s financial well-being were matters of public knowledge. [read post]
10 Aug 2009, 3:00 am
Green Tree Financial Corp. v. [read post]
13 Sep 2011, 5:37 am
Regions Financial Corp., No. 10-2311-cv, 2011 WL 3667784 (2d Cir. [read post]
25 Jun 2022, 8:37 am
“National Securities Corp. is pleased to have resolved this legacy matter and remains fully committed to complying with its regulatory requirements as it focuses on supporting its clients,” a B. [read post]
1 Jul 2009, 7:54 am
Caterpillar Financial Services Corp. et. al., No. 284036. [read post]
22 Jan 2015, 6:22 am
Delbert Services Corp. [read post]
6 Jan 2020, 1:32 pm
He and his associate Christopher Parris solicited investments in their companies, which were supposedly involved in financial services, insurance, and real estate, including First Nationle Solution LLC, Percipience Global Corp., and United RL Capital Services. [read post]
