Search for: "Investor B"
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17 Jun 2010, 6:14 am
It is not clear from the press release what role Colonial Bank played or what losses other investors may have suffered. [read post]
25 Jul 2017, 3:00 am
A number of the witnesses trained their sights on, among other things, the internal control auditor attestation requirement of SOX 404(b). [read post]
13 Jan 2021, 12:14 pm
FINRA has barred stockbroker Christopher B. [read post]
19 Oct 2014, 5:27 am
In addition, declaratory judgments of non-infringement based on Art.32:1 b) UPCA could be viewed as in breach of the duty to provide ‘full protection and security’ – if this standard is understood as encompassing a duty to protect patents against third party infringements. [read post]
25 Mar 2020, 12:27 pm
Financial Advisor Dana B. [read post]
20 Mar 2020, 8:10 am
Financial Advisor James B. [read post]
18 Dec 2007, 5:48 am
"Series A and Series B. [read post]
15 Nov 2016, 1:42 pm
Rule 506 (c) forbids such investment outright, but another Regulation D rule, Rule 506(b), allows non-accredited investment as long as the investors are "sophisticated" and the start-up raising the money has no more than 35 of them investing in the offering.Sophisticated Investor: A sophisticated investor is a non-accredited investor that has superior knowledge of business and financial matters. [read post]
31 Oct 2019, 10:41 am
SARL d/b/a First Global Credit, a Switzerland-based securities dealer, for offering and selling unregistered security-based swaps to U.S. investors using bitcoins and for failing to transact…Read the Full Press ReleaseHave a securities law question? [read post]
26 Jan 2010, 11:16 am
The receiver also reported that: (a) none of the Medical Capital entities ever generated enough profit to pay investors’ principal and interest, and (b) just under $1 billion in loans and assets were transferred among various Medical Capital entities in order to make payments to earlier investors using new investors’ funds. [read post]
26 Jan 2010, 11:16 am
The receiver also reported that: (a) none of the Medical Capital entities ever generated enough profit to pay investors’ principal and interest, and (b) just under $1 billion in loans and assets were transferred among various Medical Capital entities in order to make payments to earlier investors using new investors’ funds. [read post]
19 Sep 2015, 6:46 am
Kleinhaus, and Noah B. [read post]
8 Feb 2018, 12:00 am
New York State Investors who have purchased insurance contracts have been subject to unnecessary requirements imposed by replaced insurers on replacing insurers. [read post]
23 Nov 2021, 1:16 pm
A 10(b) suit is usually called securities fraud. [read post]
14 Aug 2021, 3:00 am
A plaintiff alleging claims under Section 10(b) of the Securities Exchange Act must show that the defendant acted with “scienter,” which usually means either an intent to mislead investors, or reckless indifference to whether investors would be misled. [read post]
17 May 2007, 5:59 am
Sarbanes-Oxley is bad for investors because the costs are excessive relative to the benefits, and B. [read post]
1 Jan 2011, 1:26 pm
Section 989G of Dodd-Frank exempts companies with a public float of less than $75 million from 404(b) and requires the SEC to conduct a study and report to Congress on how the Commission can reduce the burden of complying with the auditor attestation requirement of 404(b) for companies whose public float is between $75 million and $250 million, while maintaining investor protections for such companies. [read post]
7 Nov 2013, 1:55 pm
, has announced it has completed a $18.2 million Series B funding. [read post]
24 Sep 2008, 8:59 pm
Late Tuesday, Putnam Investors announced that its Prime Money Market Fund, holding $12.3 B had... [read post]
7 Jul 2011, 5:53 am
NYSE Euronext shareholders approved the deal with Deutsche Börse. [read post]
