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., a Registered Principal with Investors Capital Corp. has been found to have committed several violations by FINRA relating to the recommendation and sale of private securities through a company he formed to look like an independent branch of a broker-dealer. [read post]
15 Apr 2013, 1:02 pm by D. Daxton White
Perlmuter was a registered broker for Securities America, Inc from 09/2005-05/2011, and with Lincoln Financial Advisors Corp. from 06/1999-09/2005. [read post]
1 Nov 2010, 9:53 am
  Back in March, Wisconsin insurance regulators took charge of most of the assets of Ambac Assurance Corp., which insures bonds, as part of a plan to create sufficient capital to pay claims on defaulted mortgage backed securities and other financial products. [read post]
8 Feb 2011, 10:30 am
This has been an issue which IRS has pressed on for years -- indeed in 2010, they almost made it over the legislative hump (in forcing the issue) with House passage of legislation which would have lowered the boom on service professionals who try to minimize Medicare and Social Security taxes by funneling what is arguably self-employment income through an "S" corporation which pays the dough out in the form of a nominal salary with the rest in dividends. [read post]
17 Jan 2012, 8:42 am by Andrew Ramonas
Brownstein last week filed a lobbying registration report with Congress to disclose that shareholders Alexander Dahl, Makan Delrahim, Allen Grunes and William Moschella are advocating for Warner Music Group Corp. subsidiary WMG Acquisition Corp. [read post]
9 Jun 2023, 3:15 am by Liz Dunshee
” The petition argues that the Second Circuit has acknowledged its split from the Ninth Circuit’s 2014 holding in In re NVIDIA Corp. [read post]
18 Dec 2017, 10:08 am by Matthew Kahn
To counter Iran and block its path to a nuclear weapon, I sanctioned the Islamic Revolutionary Guard Corps for its support of terrorism, and I declined to certify the Iran Deal to Congress. [read post]
10 Sep 2021, 9:36 am by The White Law Group
           The post CION Investment Corp Shareholders Approve Listing Shares on NYSE   appeared first on The White Law Group. [read post]
12 May 2015, 3:30 pm by James Galvin
Inc. 90271J184 UBS Trigger Phoenix Autocallable Optimization Securities linked to Research In Motion, Ltd. 90271J176 UBS Trigger Phoenix Autocallable Optimization Securities linked to Chesapeake Energy Corp. 90271J127 UBS Trigger Phoenix Autocallable Optimization Securities linked to Citigroup 90271H873 UBS Trigger Phoenix Autocallable Optimization Securities linked to Chesapeake Energy Corp. 90271J143 UBS Trigger Phoenix Autocallable… [read post]
4 Feb 2016, 8:57 am by Adam Weinstein
Finally, from August 2014 until December 2015, Watson was registered with Freedom Investors Corp. out of the firm’s Brookfield, Wisconsin office location. [read post]
28 Oct 2016, 11:00 am by Jared Bomberg
Wyndham Worldwide Corp. and In the Matter of LabMD know that the litigation has prompted increased Congressional oversight of the Federal Trade Commission’s (FTC) data security enforcement practices. [read post]
6 May 2009, 9:43 pm
By Mark Chael -- On April 29, 2009, Raptor Pharmaceuticals Corp. announced that the U.S. [read post]
24 Nov 2012, 5:17 pm
District Court for the Western District of Texas says that the Securities and Exchange Commission’s clawback lawsuit against two Arthrocare Corp. [read post]