Search for: "Wall Street Financial Corporation"
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31 Mar 2016, 6:00 am
Bishop in California Corporate & Securities Law blog A Son of Wall Street Privilege Faces Fraud Charges By CHRISTOPHER M. [read post]
29 Sep 2008, 1:55 am
Not everyone watches CNN, CNBC or reads the Wall Street Journal. [read post]
22 Apr 2013, 2:41 pm
The members of the Working Group enforce three different laws that create an avenue for whistleblowers to provide information to the Government regarding fraud in connection with the sale of RMBS: the False Claims Act; the Dodd-Frank Wall Street Reform and Consumer Protection Act; and the Financial Institutions Reform, Recovery, and Enforcement Act of 1989 (FIRREA). [read post]
10 Apr 2013, 5:13 pm
Her insights on these and other matters appear in the Bureau of National Affairs, Spencer Publications, the Wall Street Journal, the Dallas Business Journal, the Houston Business Journal, and many other national and local publications. [read post]
7 Dec 2016, 6:16 am
However, FINRA’s records are not always complete according to a Wall Street Journal story that checked with 26 state regulators and found that at least 38,400 brokers had regulatory or financial red flags such as a personal bankruptcy that showed up in state records but not on BrokerCheck. [read post]
8 Feb 2016, 10:08 am
However, FINRA’s records are not always complete according to a Wall Street Journal story that checked with 26 state regulators and found that at least 38,400 brokers had regulatory or financial red flags such as a personal bankruptcy that showed up in state records but not on BrokerCheck. [read post]
16 Oct 2015, 8:11 am
However, FINRA’s records are not always complete according to a Wall Street Journal story that checked with 26 state regulators and found that at least 38,400 brokers had regulatory or financial red flags such as a personal bankruptcy that showed up in state records but not on BrokerCheck. [read post]
11 Aug 2008, 8:18 pm
Joel reads the Financial Times so we don't have to. [read post]
11 Jul 2012, 3:04 am
It's a reflexive call to make in the wake of the deepest economic slowdown since the 1930s, and a string of scandals in both the financial sector and industries beyond Wall Street. [read post]
11 Oct 2007, 5:40 am
" He left politics, went to Wall Street, and helped found the Blackstone Group, leaving the public eye but presumably becoming very rich in the process. [read post]
24 Jan 2010, 7:40 am
Securities arbitration claims involving misrepresentations and omissions continue to outpace the filing of cases alleging the sale of unsuitable investments, as it is expected these cases particularly in 2008 and 2009 relate to the fraudulent sale of the preferred securities of financial institutions, structured products, bond funds, and the near cash instruments that have been manufactured by Wall Street within the last two years and sold to unsuspecting otherwise… [read post]
As Part of White House Cyber Security Initiative, President Proposes Uniform Data Notification Rules
13 Jan 2015, 4:18 am
However, according to a January 12, 2015 Wall Street Journal article entitled “White House Aims to Harden Cyberattack Defense” (here), the White House is about to try again to address the issue, through new legislative proposals to be announced this week and in the President’s upcoming State of the Union address, and through an executive order to be introduced later this year. [read post]
17 Sep 2008, 5:56 am
This move is described in detail in a September 17, 2008 Wall Street Journal article entitled "U.S. to Take Over AIG in a $85 Billion Bailout" (here). [read post]
28 Dec 2013, 7:01 pm
Highlights Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) added a new section 13 to the Bank Holding Company Act of 1956 that generally prohibits a banking entity from engaging in proprietary trading and from investing in, sponsoring, or having certain relationships with a hedge fund or private equity fund (covered funds). [read post]
14 Sep 2015, 3:13 am
How has behavior on Wall Street changed since ’07? [read post]
18 Oct 2020, 2:35 pm
As discussed in an October 17, 2020 Wall Street Journal article entitled “String of Companies That Imploded Have Something in Common: Ernst & Young Audited Them” (here), a number of EY audit clients have faced financial issues in recent months, raising questions whether there is something about EY’s audit approach that contributed to the problems or allowed the problems to happen. [read post]
16 Nov 2008, 3:11 pm
According to an article in the Wall Street Journal article by Keith Winstein, a survey of 358 senior executives and directors at 53 publicly traded companies conducted by Barry Minkow and his private investigation firm, the Fraud Discovery Institute (FDI), found at least seven instances of claims that individuals had academic degrees they don't have. [read post]
24 Mar 2017, 5:46 pm
For the Republican Party it is all about ensuring that a right wing nominee is appointed to the Supreme Court, gutting environmental and workplace regulations and Wall Street oversight for the benefit of big business, and passing tax cuts for the wealthy funded by the removal of the safety net for the less privileged. [read post]
24 Mar 2015, 7:00 pm
The Dodd-Frank Wall Street Reform and Consumer Protection Act requires that certain banking organizations with total consolidated assets of $50 billion or more and nonbank financial companies designated by the Financial Stability Oversight Council for supervision by the Federal Reserve periodically submit resolution plans to the Federal Reserve and the FDIC. [read post]
4 Jan 2010, 7:28 am
(To be sure, one Wall Street Journal article indicated that initial tallies at several companies reveal favorable outcomes for directors, ranging from 63% shareholder support to close to 100% support for compensation packages at Goldman Sachs). [read post]
