Search for: "SECURITIES CORP."
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4 Dec 2020, 10:22 am
In 2017, the publicly-traded company SCANA Corp. [read post]
20 Nov 2023, 1:08 pm
US authorities are investigating whether the Musk-owned social network, now officially called X, is complying with the settlement's privacy and security requirements.Read 10 remaining paragraphs | Comments [read post]
5 Nov 2009, 10:48 am
Stifel Financial Corp., which has been expanding its Stifel Nicolaus & Co. retail-brokerage business, is about to make a push into serving registered investment advisers. [read post]
15 May 2020, 6:26 am
By Amanda Maine, J.D.Challenges presented by the COVID-19 pandemic to SEC enforcement efforts and defense responses dominated the Securities Docket’s recent Securities Enforcement West 2020 conference. [read post]
17 Feb 2016, 6:54 am
According to reports, the brokers’ alleged misconduct occurred while they were employed with Mid Atlantic Capital Corp, a FINRA registered brokerage firm. [read post]
30 Sep 2021, 12:49 pm
As discussed here, in June 2021, the court in the securities suit filed against Carnival Corp. was granted. [read post]
12 May 2015, 3:26 pm
Inc. 902641802 UBS Yield Optimization Securities with Contingent Protection linked to McDonald’s Corp. 902641851 UBS Yield Optimization Securities with Contingent Protection linked to Schlumberger, Ltd. 902641869 UBS Yield Optimization Securities with Contingent Protection linked to Oracle Corp. 902641877 UBS Yield Optimization Securities with Contingent Protection linked to Dell Inc. 902641885 UBS Yield Optimization Securities… [read post]
4 Mar 2011, 12:32 pm
Per the court, DBS was the broker and investment adviser for Akamai Securities Corp. and Akamai Technologies Inc. [read post]
21 Mar 2019, 1:21 pm
Marine Corps commandant Gen. [read post]
29 Jun 2010, 1:47 pm
LLC $11,600,000 - Jesup andamp; Lamont Securities Corp. $100,000 $13,500 Kaiser andamp; Co. $100,000 $160,650 Lighthouse Capital Corp. $250,000 $33,750 Main Street Securities LLC $205,000 $45,450 Matheson Securities LLC $100,000 $37,800 Milkie Ferguson Investments Inc. $4,145,000 $480,350 Morrow Wealth Management $30,000 - National Securities Corp. $3,665,000 $437,250 Newbridge Securities Corp. $25,000… [read post]
26 Jan 2024, 8:56 am
The Securities and Exchange Commission today announced that Northern Star Investment Corp. [read post]
1 Jul 2015, 1:50 pm
Segal was formerly a registered stockbroker with Aegis Capital Corp. and Cumberland Advisors. [read post]
15 Feb 2010, 9:55 pm
Bank of America Corp. [read post]
2 Nov 2009, 6:44 am
LPL Financial Corp. [read post]
5 Feb 2012, 10:26 am
., Countrywide Securities Corp. and Countrywide Financial Corp. [read post]
SAIC pays $11.75 million to settle qui tam allegations it overcharged for homeland security training
14 Jun 2013, 4:15 am
On June 13, the Department of Justice announced that the government contracting firm Science Applications International Corp. has agreed to pay $11.75 million to settle charges, initially brought by a whistleblower, that the company overcharged the government for training contracts. [read post]
7 Jul 2008, 11:01 pm
. continued ownership of such securities . [read post]
5 Jul 2018, 12:44 pm
Schechter Poultry Corp. v. [read post]
12 Jun 2013, 11:24 am
Regions Financial Corp., 655 F.3d 105 (2d Cir. 2011) [blog article here]) and Ninth Circuit (see Rubke v. [read post]
31 Oct 2011, 11:06 pm
The US Justice Department and the New York attorney general have filed separate securities lawsuits seeking more than $2 billion from Bank of New York Mellon Corp. [read post]
