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15 Apr 2011, 9:05 am
The Report expands upon four case studies conducted during the investigation regarding these causative factors: (1) high risk mortgage lending by Washington Mutual Bank; (2) regulatory failures by the Office of Thrift Supervision; (3) the use of inflated credit ratings by Moody's Investor's Services, Inc. and Standard & Poor's Financial Services LLC; and (4) the role of investment banks Goldman Sachs and Deutsche Bank. [read post]
9 Aug 2011, 11:21 am
The Securities and Exchange Commission Aug. 4 dropped its administrative insider trading case against former Goldman Sachs Inc. [read post]
26 Jan 2012, 3:00 am
Mutual Marine Offices, Inc., 230 F. [read post]
21 May 2018, 9:15 am
Murphy Oil USA, Inc.), and the Seventh Circuit Court of Appeals (Epic Systems Corp. v. [read post]
23 Mar 2010, 1:25 am
Seward & Kissel LLP KINGS COUNTYLabor Law 'Falling Object' Liability Extended to Objects That Require Securing; Judgment on §240(1) Granted Maximin v. 26-26 Jackson Avenue LLC RICHMOND COUNTYInsurance Law Insurer's Reliance on Worker Exclusion Is Found Meritless; Obligated to Defend, Indemnify Suit Merchants Mutual Ins. [read post]
7 May 2024, 7:35 am
The advisers, including FSC Securities Corporation, Osaic Wealth, Inc. [read post]
18 Mar 2010, 5:00 am
The two were senior executives of a registered broker dealer, Columbia Funds Distributor, Inc. [read post]
16 Apr 2012, 4:30 am
Broyles alleged that in 2006, he retained Commonwealth to be his investment advisor for his diversified portfolio consisting of stocks, bonds mutual funds, asset-backed securities, and money markets. [read post]
19 Jan 2018, 6:30 am
Securities and Exchange Commission, on Wednesday, January 17, 2018 Tags: Financial regulation, SEC, Securities regulation A Sense of Purpose Posted by Larry Fink, BlackRock, Inc., on Wednesday, January 17, 2018 Tags: Accountability, BlackRock, Board composition, Boards of Directors, Corporate Social Responsibility, Diversity, Engagement, ESG, Index funds, Institutional Investors, Long-Term… [read post]
5 Sep 2009, 8:00 am
Merrill Lynch Asset Management, Inc., 694 F.2d 923 (2d Cir. 1982). [read post]
22 Jun 2011, 12:48 pm
About Morgan Keegan Morgan Keegan & Company, Inc., a full-service brokerage and investment banking firm, is the securities brokerage arm of Regions Financial Corp. [read post]
22 Jun 2011, 12:48 pm
About Morgan Keegan Morgan Keegan & Company, Inc., a full-service brokerage and investment banking firm, is the securities brokerage arm of Regions Financial Corp. [read post]
6 Jul 2017, 9:15 am
Brake’s employment at Sobeys and McDonald’s were not mutually exclusive. [read post]
1 Feb 2023, 9:01 pm
”[24] As private companies have gained increasingly large market power and as the pool of accredited investors has expanded – including venture capital, private equity funds, mutual funds, pension funds, and individuals that meet the requisite wealth thresholds – the de facto presumption that accredited investors need no disclosure isn’t panning out. [read post]
3 Mar 2017, 6:16 am
Berman, Vinson & Elkins LLP, on Saturday, February 25, 2017 Tags: Broker-dealers, Compliance & ethics, Conflicts of interest, Cybersecurity, Duty to inform, FCPA, Financial advisers, Private equity, Private funds, SEC, SEC enforcement, Securities enforcement, Securities regulation Should Mutual Funds Invest in Startups? [read post]
10 Jun 2013, 1:30 am
(outdoor billboards), Equinix Inc. [read post]
21 Jan 2022, 2:17 pm
Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, NatWest Markets Securities Inc., and Washington Mutual Mortgage Securities Corp., resolving allegations that the banks did not adequately disclose the characteristics of certain mortgage-backed securities sold to New Mexico pension funds and a state-run investment council between 2003 and 2010. [read post]
21 Jan 2022, 2:17 pm
Morgan Securities LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, NatWest Markets Securities Inc., and Washington Mutual Mortgage Securities Corp., resolving allegations that the banks did not adequately disclose the characteristics of certain mortgage-backed securities sold to New Mexico pension funds and a state-run investment council between 2003 and 2010. [read post]
3 Mar 2016, 8:12 am
Liberty Mutual that a Vermont data-collection law did not apply to self-funded insurance plans covered by the Employee Retirement Income Security Act (ERISA) because the Act preempts state laws. [read post]
6 Apr 2018, 11:33 am
” The so-called FAANG stocks, Facebook, Apple, Amazon, Netflix Inc. and Google parent Alphabet Inc., “together account for 7.8% weighting in the S&P 500, more than double from five years ago,” according to the Journal. [read post]
