Search for: "Mutual Securities, Inc."
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10 May 2012, 11:50 am
On or about September 15, 2006, TCD, Inc. [read post]
4 May 2012, 11:29 am
Another New York employer, the document hosting company microMedia Imaging Systems, Inc., joined the program the same day, at a separate ceremony. [read post]
3 May 2012, 10:31 am
An Ohio-based meat company, Fresh Mark, Inc., became the first employer in the state to join an employment compliance program run by U.S. [read post]
2 May 2012, 7:13 am
This event promises to be a great networking opportunity and a leisurely chance to secure required CLE credits. [read post]
2 May 2012, 6:42 am
The SEC had alleged that UBS Financial Services Inc. of Puerto Rico, starting in 2008, solicited thousands of retail investors, saying a competitive and liquid secondary market contributed to their closed-end mutual funds’ performance. [read post]
1 May 2012, 2:34 pm
The SEC charged UBS Financial Services Inc. of Puerto Rico and two executives with making misleading statements to investors, concealing a liquidity crisis, and masking its control of the secondary market for 23 proprietary closed-end mutual funds. [read post]
1 May 2012, 12:58 pm
TREASURES ON THE BAY II CONDO ASS'N, INC., Appellee. 3rd District.Contracts -- Mortgages -- Action against lender for breach of contract, breach of implied covenant of good faith and fair dealing, and promissory estoppel, alleging lender failed to comply with its obligations under federal Home Affordable Modification Program by declining to issue mortgagor a permanent loan modification -- No implied private right of action exists under HAMP -- To extent claims fall outside scope of… [read post]
26 Apr 2012, 4:30 am
In this action, a federal court retained jurisdiction on a verified petition finding that the petitioner was not entitled to the securities exception under CAFA when its claim does not entirely depend on a mutual securities agreement, but rather requires other sources of law for its evaluation. [read post]
24 Apr 2012, 5:00 am
IA-2047 One of the problems with backtesting is whether the securities and trades that would be used going forward were available in past. [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]
13 Apr 2012, 11:49 am
" The 21 members will "represent a wide variety of interests, including senior citizens and other individual investors, mutual funds, pension funds, and state securities regulators" and will begin working "in the near future. [read post]
11 Apr 2012, 1:13 am
Jonathan Joseph is a member of the California State Bar and has focused for over 33 years on regulatory, corporate, securities and transactional matters for banks and bank holding companies and officers and directors of distressed and failed institutions. [read post]
10 Apr 2012, 5:01 am
Members must include those who represent individual equity and debt holders (including mutual funds) and institutional investors (including pension funds and registered investment companies). [read post]
9 Apr 2012, 1:09 am
According to the SEC’s October 11, 2011 litigation release, the complaint alleges that the defendants “concealed losses on loans and other assets from the bank’s auditors, causing the bank’s holding company UCBH Holdings, Inc. [read post]
8 Apr 2012, 9:03 am
This event promises to be a great networking opportunity and a leisurely chance to secure required CLE credits. [read post]
4 Apr 2012, 3:38 pm
The largest settlement in 2011 was a $208.5 million recovery against Washington Mutual Inc., the largest United States bank or thrift to fail. [read post]
4 Apr 2012, 11:34 am
Stay tuned for another case analysis, TCD, Inc. v. [read post]
2 Apr 2012, 6:15 am
Yes… Tommy Edison’s electric candle company, that had been the first to bring good things to light… one of the original 12 companies that made up the Dow Jones Industrial Average, and the only one of those 12 still part of the Dow today… along with the Oracle of Omaha’s private mutual fund they call Berkshire Hathaway… yes, they both fell from grace at the hands of irresponsible sub-prime borrowers during the housing bubble. [read post]
31 Mar 2012, 8:17 pm
Sung Hyun Min, formerly with Etech Securities Inc., in Pasadena, California, was fined $5,000 and suspended from association with any FINRA member in any capacity for 30 business days in relation to a finding that he permitted a non-registered person to service his customer accounts resulting in a loss of $60,000 in one of those accounts. [read post]
29 Mar 2012, 5:20 pm
SEC, Citing 2d Circuit Order, Asks Court To Approve Deal With Bear Stearns Execs, BNA Securities Law Daily, March 20, 2012 SEC Credits Former Axa Rosenberg Executive for Substantial Cooperation during Investigation, SEC, March 19, 2012 IOSCO publishes updated systemic risk data requirements for hedge funds, HedgeWeek, March 23, 2012 More Blog Posts: Securities Fraud: Mutual Funds Investment Adviser Cannot Be Sued Over Misstatement in Prospectuses, Says US Supreme… [read post]
