Search for: "Securities America Financial Corporation"
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17 Jun 2019, 7:05 am
Bastardi was formerly employed by Chelsea Financial Services (Chelsea Financial) and National Securities Corporation (National Securities). [read post]
17 Jun 2010, 3:34 am
My exposure of confirmed financial reporting violations by Overstock.com and possible financial reporting violations by Bidz.com was a freebie to securities regulators to get me into heaven, though I doubt that I will ever get there. [read post]
6 May 2024, 9:05 pm
Public companies face a wide range of legal claims, yet the Financial Accounting Standards Board (FASB) and the Securities and Exchange Commission (SEC) have questioned whether public companies provide sufficient disclosure to warn investors of potential losses from these claims. [read post]
14 May 2013, 5:00 am
Countrywide Financial Corporation, civil division prosecutors argued that Bank of America and Countrywide’s allegedly fraudulent sale of mortgage-backed securities to Fannie Mae and Freddie Mac “affected” themselves by exposing the banks to risk of loss due to repurchase requirements. [read post]
8 Mar 2010, 1:32 am
In January 2006, in order to put some clarity around the issue of corporate penalties, the SEC issued its Statement of the Securities and Exchange Commission Concerning Financial Penalties (here). [read post]
14 Apr 2009, 2:01 pm
A common cry from corporate America is that government regulation chokes corporate growth and reduces America's ability to compete in the global marketplace. [read post]
14 Apr 2009, 2:01 pm
A common cry from corporate America is that government regulation chokes corporate growth and reduces America's ability to compete in the global marketplace. [read post]
12 Apr 2019, 8:22 am
According to FINRA Disciplinary actions for February 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Grossman, Robert David Lerner Associates, Inc National Planning Corporation Jacobowitz, Oded Securities America, Inc JP Morgan Securities LLC James, Garland Garden State… [read post]
6 Sep 2018, 6:11 am
(Securities America) broker Randy Schneider (Schneider). [read post]
28 Feb 2022, 7:00 pm
UNITED STATES OF AMERICA On 1 February 2022, data compiled by Bloomberg found that the total amount of traded distressed bonds and loans in the Americas totalled USD65.5bn, increasing by 6.5 per cent week-on-week. [read post]
24 Dec 2009, 6:31 am
In doing so, the author discusses the conduct of the major regulators, including the Securities and Exchange Commission (SEC), which he does not spare from criticism. [read post]
10 Dec 2019, 4:51 am
The Statement of Claim alleges Voya Financial Advisors unsuitably invested his clients in the following business development companies and high risk non-traded REITs: Business Development Corporation of America (BDCA) FS Investment Corporation II North Star Real Estate Income Trust CION Investment Corporation The claim seeks damages between $100,000.00 and $500,000.00. [read post]
4 Apr 2022, 9:05 pm
The primary climate change risk that companies face is that China, India, Africa, and Latin America will increase future emissions. [read post]
23 Sep 2023, 1:49 pm
However, social security payments may be exempt from this because of how that type of income is classified. [read post]
28 Mar 2008, 5:45 pm
The issues at stake in many of these cases, however, reveal the far more terrifying implications involved in not adequately punishing corporations for cutting corners and jeopardizing people's safety, financial security, or rights. [read post]
24 May 2022, 10:54 am
§1344, financial institution fraud occurs anytime there is an attempt or plan or scheme “…to obtain any of the moneys, funds, credits, assets, securities, or other property owned by, or under the custody or control of, a financial institution, by means of false or fraudulent pretenses, representations, or promises. [read post]
4 Mar 2011, 11:22 am
Emerging from the Financial Crisis with the Help of Increased Consumer Protection and Corporate Responsibility. [read post]
16 Jun 2020, 7:14 am
Securities America, Inc. [read post]
19 Jan 2016, 7:01 am
Not cited in the AWC but set forth in FINRA’s online BrokerCheck records as of January 27, 2016, Richards was registered with FINRA member firm Securities America, Inc. from March 2013 – August 17, 2015. [read post]
28 Apr 2012, 8:50 pm
(C), and Bank of America Corp.'s (BAC) Countrywide. [read post]
