Search for: "Matter of Financial Corp."
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1 Feb 2021, 10:14 am
We are reviewing this matter. [read post]
23 Feb 2023, 8:07 am
The company resolved the SEC’s charges for more than $100,000 and without admitting or denying the SEC’s findings (In the Matter of African Gold Acquisition Corp., Release No. 34-96960, February 22, 2023).According to the SEC’s order, African Gold Acquisition Corp. was a publicly-traded post-IPO SPAC that failed to maintain adequate internal accounting controls, internal control over financial reporting, and disclosure controls and procedures. [read post]
18 Mar 2011, 9:51 am
Alice Corp. [read post]
8 Apr 2009, 8:27 am
A number of life insurers, including Hartford Financial Services Group Inc., Genworth Financial Inc. and Lincoln National Corp., struck deals last fall to buy regulated savings and loans so they could call themselves banks and qualify for government funds. [read post]
15 Jul 2014, 5:29 am
We have decades of experience in securities litigation matters, including the defense of enforcement actions. [read post]
24 Apr 2015, 12:01 pm
Baccam was registered with Linsco/Private Ledger Corp in Boston from November 2000 to February 2002 and Centarus Financial in Hemet, California from February 2002 to December 2011. [read post]
22 Apr 2014, 10:30 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Edward Dulin, a broker currently working at Bank of America Corp’s Merrill Lynch unit, alleged his ex-employer UBS AG misled its advisors about the financial health of Lehman Brothers Holdings Inc. [read post]
22 Oct 2015, 12:20 pm
From the Desk of Jim Eccleston at Eccleston Law LLC:FINRA has imposed fines of Voya Financial Advisors Inc., Transamerica Financial Advisors Inc. and four other independent broker-dealers. [read post]
14 Oct 2009, 12:28 pm
A Notice of Pendency of Class Action was issued in the class action matter In re Schwab Corp. [read post]
24 May 2024, 6:46 am
Related: LLC, S-Corp, & C-Corp: What’s Best for US Expats? [read post]
28 Nov 2007, 3:16 am
Corp Fin's New Chief Counsel: Tom Kim Yesterday, Tom Kim was named Corp Fin's new Chief Counsel, filling the slot that Dave Lynn lit up until six months ago when he joined our team. [read post]
24 Dec 2008, 2:41 pm
Dodd came clean and released documents on two mortgages hew received from Countrywide Financial Corp. that has already sparked a Senate ethics inquiry? [read post]
19 May 2016, 2:33 pm
More recently, on March 31, 2016, the SEC charged Navistar International Corp. with misleading investors about its development of an advanced technology truck engine and its potential certification by the Environmental Protection Agency (“EPA”). [read post]
27 Dec 2007, 3:35 am
The Staff appears to be applying the policy only on a going-forward basis Two GAO Reports on SEC Enforcement Matters Earlier this week, at the request of Senator Charles Grassley, the Government Accountability Office released a report that examines the SEC's oversight of the financial markets. [read post]
2 Mar 2021, 4:24 pm
The parent company apparently did not come forward with financial records top establish its lack of influence over pricing. [read post]
6 Dec 2016, 9:03 am
Guest Post on Crutchfield Corp. v. [read post]
31 May 2019, 3:00 am
Yesterday, Corp Fin Director Bill Hinman issued an exemptive order permitting a company that was unable to provide the audited financial statements required under Rule 14a-3(b) to nevertheless solicit proxies for its upcoming annual meeting. [read post]
8 Jul 2010, 10:13 am
What would be the mission of this new corps of Federal monitors? [read post]
5 Jul 2013, 8:30 am
Getting people to work together – between Enforcement, Corp Fin, and the various Chief Accountants' Offices – could very well improve the SEC's monitoring of disclosures and offer Enforcement a look into "the next big thing" in financial reporting, which often happens in the Corp Fin comment process. [read post]
12 Feb 2024, 10:28 am
Inc. agreed to $12 million in penalties Key Investment Services and a related firm agreed to pay a $10 million penalty, Lincoln Financial Advisors Corp. and another Lincoln firm agreed to pay $8.5 million. [read post]
