Search for: "SECURITIES CORP."
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11 May 2009, 4:05 am
In Vance v Union Planters Bank Corp., 279 F. 3d 295, [Cert. [read post]
29 Jun 2010, 2:16 pm
The Supreme Court vacated the conviction of Richard Scrushy, former Chairman of HealthSouth Corp., for bribery and conspiracy and remanded to the appellate court for further consideration in light of its Skilling opinion that narrowed the scope of the honest... [read post]
11 Jul 2010, 10:25 am
Bank of America Corp., in a letter to the SEC, admitted to making six transactions that concealed billions of dollars of debt, in order to cut the size of a unit's balance sheet and meet internal financial targets. [read post]
3 Jun 2013, 1:38 pm
PACCAR and its subsidiary PACCAR Financial Corp. agreed to settle the... [read post]
15 May 2009, 1:55 am
Interoil Corp (NYSE: IOC) has no proven oil and gas reserves. [read post]
2 Aug 2016, 4:57 am
Corp Fin did not allow the exclusion, which means the tactic of a company implementing their own version of proxy access to stave off a possible shareholder proposal on the topic might be dead. [read post]
3 Dec 2021, 1:29 pm
(CRD#:16361) of Dallas, TX, and 1st Global Capital Corp. [read post]
13 Aug 2018, 10:25 am
Ray Gene Reese (CRD #1694620) is a FINRA Broker and Investment Advisor with Money Concepts Capital Corp (CRD #12963) of Farmington, MO. [read post]
10 Aug 2009, 7:13 am
Regions Financial Corp., whose brokerage arm is Morgan Keegan & Company, has revealed in its Aug. 5 10-Q filing with the Securities and Exchange Commission (SEC) that Morgan Keegan, Morgan Asset Management Company and three employees each received a Wells notice in July from the SEC's office in Atlanta, alerting them to prepare for future enforcement actions for possible violations of the federal securities laws. [read post]
29 Aug 2018, 1:49 pm
He was previously employed with Oberlin Financial Corp. [read post]
7 Jan 2011, 2:00 am
The Corporate Securities Law of 1968 does not provide for a general “cooling off” period in which a purchaser of securities may cancel the transaction for any reason. [read post]
27 Jan 2011, 4:51 am
And last Friday, the SEC released a 208-page Congressional Study - as required by Section 913 of Dodd-Frank - regarding the effectiveness of the standards of care required of broker-dealers and investment advisers providing personalized investment advice about securities to retail customers. [read post]
26 Feb 2008, 5:20 am
Instead of using the customers' money to purchase securities, Loffredi used the customers' funds to pay his personal and business expenses, to make payments to a company owned by his wife, Advanced Sales and Marketing Corp., to make disbursements to other customers who had invested in the fictitious securities, and on at least one occasion to make payments on behalf of his wife. [read post]
28 Jul 2008, 10:00 pm
Corp. of NY [read post]
28 Oct 2009, 10:41 am
., No. 283786, Moon Roof Corp. of America v. [read post]
26 Jul 2007, 9:15 pm
The House Judiciary Subcommittee on Crime, Terrorism, and Homeland Security approved a modified version the House privilege waiver bill, H.R. 3013, on July 24 by voice vote. [read post]
27 Feb 2023, 9:01 pm
On May 12, 2021, plaintiff Jeeun Friel filed a putative class action against Dapper Labs and its CEO, Roham Gharegozlou, alleging that Moments were securities under the federal securities laws. [read post]
14 Jan 2014, 6:24 am
ACE Securities Corp. v. [read post]
27 May 2020, 9:00 am
(“Turbo”) and Applied BioSciences Corp. [read post]
7 Dec 2019, 6:30 am
This week, Lawfare's Susan Hennessey sat down with John Watts, a senior fellow at the Atlantic Council's Skowcroft Center for Strategy and Security, and JD Work, the Bren Chair for Cyber Conflict and Security at the Marine Corps University, who are authors of "Alternate Cybersecurity Futures," along with Nina Kollars, Ben Jensen, and Chris Whyte. [read post]
