Search for: "BNP Paribas Securities Corp" Results 1 - 19 of 19
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7 Jul 2015, 2:18 pm by rexsecuritieslaw
June 23, 2015- New York A FINRA arbitration panel ordered BNP Paribas Securities Corp. to pay a former customer over $16 million dollars for the sale and marketing of an unsuitable investment in a Resetable Strike Option Transaction. [read post]
27 Aug 2018, 12:19 pm
utm_source=govdeliveryCFTFC issued an Order filing and settling charges against BNP Paribas Securities Corp. for attempted manipulation of the ISDAFIX benchmark and requiring BNP Paribas to pay a $90 million civil monetary penalty. [read post]
18 Oct 2019, 4:41 am
ITG Inc., Respondent (FINRA Arbitration Decision)FINRA Fines BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. $15 Million for AML Program and Supervisory Failures (FINRA Release)Former Director of Corporate La... [read post]
29 Apr 2019, 12:55 pm by ccollins
(BARC), BNP Paribas Securities Corp., Bank of America Securities, Credit Suisse Securities, FTN Financial Securities, Deutsche Bank Securities, JP Morgan Securities, Morgan Stanley (MS), Merrill Lynch, Pierce, Fenner & Smith, and UBS Securities. [read post]
20 Mar 2013, 3:53 am by Broc Romanek
Corp Fin Issues Rare Section 402 No-Action Letter Each time a new no-action response emerges from Corp Fin, I take a quick look. [read post]
27 Feb 2019, 7:40 am by ccollins
The defendants in the case include JP Morgan (JPM), Bank of America (BAC), Citigroup (C), Barclays Bank (BARC), Deutsche Bank (DB), Credit Suisse (CS), UBS (UBS), Merrill Lynch, BNP Paribas Securities Corp., FTN Financial Securities, Goldman Sachs (GS), and First Tennessee Bank. [read post]
14 Jul 2014, 9:28 am by W. Kelly Johnson
The Citigroup settlement comes on the heels of the $8.9 billion settlement between the DOJ and BNP Paribas, the French bank that pled guilty to criminal charges relating to a violation of U.S. sanctions. [read post]
20 Jun 2017, 7:04 am by Amy K. Lehr
Notably, 10 of the 80 Equator Principles financial institutions — including ABN Amro and BNP Paribas — recently issued a statement calling for application of the IFC Performance Standards in high-income countries. [read post]
18 Jul 2008, 4:26 pm
The complete list of firms for which there can be no naked short selling follows: BNP Paribas Securities Corp. [read post]
4 Feb 2019, 6:28 am by Samuel Cohen
BNP Paribas is slightly less optimistic with its analysis suggesting that defaults will pick up at the end of 2019 and start of 2020. [read post]
25 May 2011, 11:52 am by admin
“The official line that Greece has a liquidity and not a solvency problem is showing its cracks, putting into question the whole framework of financial support,” BNP Paribas analysts said in a research note on Monday. [read post]
17 Mar 2014, 6:43 am by Richard Grant
The Plan represents the culmination of months of negotiations with significant holders of the Debtors’ prepetition secured indebtedness, with whom the Debtors have entered into a Restructuring Support Agreement (as defined and discussed further below). [read post]