Search for: "BMO Capital Markets Inc."
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17 Sep 2019, 10:18 am
Stifel, Nicolaus & Co., Inc. has reportedly agreed to pay $2.7 million and BMO Capital Markets Corp. has reportedly agreed to pay $1.95 million to settle charges. [read post]
16 Sep 2019, 12:20 pm
., Inc. has agreed to pay $2.7 million and BMO Capital Markets Corp. has agreed to pay $1.95 million to settle charges for providing incomplete and inaccurate…Read the Full Press Release--- Visit the Securities Lawyer website. [read post]
11 Mar 2015, 4:53 pm
These include, respectively, a firm’s projected capital ratios under a hypothetical scenario of severe economic and financial market stress and the strength of the firm’s capital planning processes. [read post]
29 Jun 2016, 4:27 pm
Quantitative factors include a firm’s projected capital ratios under a hypothetical scenario of severe economic and financial market stress. [read post]
5 Oct 2020, 9:13 am
BMO Capital Markets and RBC Capital Markets were joint book-running managers with Wedbush PacGrow and JMP Securities acting as co-lead managers for the offering. [read post]
8 Jan 2021, 12:30 pm
Lead underwriters for the IPO included Oppenheimer & Co., Evercore, and BMO Capital Markets. [read post]
10 Oct 2008, 3:01 am
Bank of America has committed to the deal, along with BMO Capital Markets. [read post]
8 Aug 2023, 12:22 pm
Fines for other firms—including Bank of Montreal, BMO Capital Markets Corp., BNP Paribas, Houlihan Lokey Capital, Inc., Mizuho Securities USA, Moelis & Company LLC, SMBC Nikko Securities America, Inc., Société Générale, and Wedbush Securities Inc. [read post]
10 Jan 2008, 3:52 pm
Baird & Co., Inc., Thomas Weisel Partners, LLC, UBS, Bear, Stearns, BMO Capital, Cowen, Deutsche Bank, and RBC Capital Markets Corp.). [read post]
26 Apr 2012, 5:56 am
The quotes, instead, came from David Lee, a former senior commodities trader at the bank’s BMO Capital Markets Corp. unit, prosecutors said. [read post]
12 Aug 2015, 9:08 am
– $100,000 BMO Capital Markets GKST Inc. [read post]
14 Jan 2008, 6:18 pm
BMO Capital Markets Corp. [read post]
25 Jun 2015, 1:29 pm
Ziegler and Company Benchmark Securities Bernardi Securities BMO Capital Markets GKST BNY Mellon Capital Markets BOSC Central States Capital Markets Citigroup Global Markets City Securities Corporation Davenport & Company Dougherty & Co First National Capital Markets George K. [read post]
6 Jan 2020, 12:00 pm
HEXO Public Offering HEXO held its initial public offering in January, 2019, with CIBC Capital Markets and BMO Capital Markets as the lead underwriters and Oppenheimer & Co. [read post]
8 Aug 2023, 9:31 am
Wells Fargo Securities, LLC together with Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC agreed to pay a $125 million penalty; BNP Paribas Securities Corp. and SG Americas Securities, LLC have each agreed to pay penalties of $35 million; BMO Capital Markets Corp. and Mizuho Securities USA LLC have each agreed to pay penalties of $25 million; Houlihan Lokey Capital, Inc. has agreed to pay a $15 million penalty; … [read post]
30 Jan 2019, 1:03 pm
According to FINRA Disciplinary actions for January 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Alfaro, Jennifer JP Morgan Securities LLC JP Morgan Chase Bank Austin, Aaron LPL Financial LLC M&T Securities, Inc Austin, Phillip… [read post]
9 Aug 2023, 11:25 am
The firms and their penalties have been produced and outlined as follows: Wells Fargo Securities, LLC together with Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC agreed to pay a $125 million penalty; BNP Paribas Securities Corp. and SG Americas Securities, LLC have each agreed to pay penalties of $35 million; BMO Capital Markets Corp. and Mizuho Securities USA LLC have each agreed to pay penalties of $25 million; Houlihan Lokey… [read post]
25 Feb 2009, 3:05 am
Sebastian, Lazard Capital Markets• Greg Short, Electronic Entertainment Design and Research (EEDAR)• Edward Williams, BMO Capital Markets• Michael Yatsko, PricewaterhouseCoopers• Jerry Zhang , Shanda GamesAbout The Guildhall at SMU: The Guildhall at Southern Methodist… [read post]
24 Jan 2020, 10:34 am
Tower Research Capital also entered a deferred prosecution agreement with DOJ in connection with its market manipulation. [read post]
3 May 2021, 9:35 am
” The Offering is being made through a syndicate of underwriters led by BMO Capital Markets and Canaccord Genuity Corp, as co-lead underwriters and joint bookrunners, and CIBC Capital Markets, National Bank Financial Inc., RBC Dominion Securities Inc. and Scotiabank (collectively, the “Underwriters”). [read post]
