Search for: "Barclays Capital, Inc"
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14 Jan 2009, 3:38 am
See also Barclays Capital Inc. v. [read post]
21 Nov 2022, 9:02 am
A “who’s who” of financial giants The 16 firms involved in the regulatory action are some of the best-known financial services corporations: Barclays Capital Inc. [read post]
28 Nov 2022, 9:02 am
A “who’s who” of financial giants The 16 firms involved in the regulatory action are some of the best-known financial services corporations: Barclays Capital Inc. [read post]
3 Jul 2014, 7:10 pm
Initial public resolution plans for American International Group, Prudential Financial, Inc., and General Electric Capital Corporation were also released. [read post]
28 Aug 2015, 10:44 am
In September 2014, Gross made a sudden departure from Pimco, and joined rival Janus Capital Group Inc. [read post]
12 Nov 2017, 11:00 pm
Barclays PLC (here). [read post]
17 Oct 2011, 7:00 am
Barclays Capital, Inc. v. [read post]
24 Dec 2019, 7:19 am
According to FINRA Disciplinary actions for December 2019, the following individuals were barred 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 Bartley, Jevon Merrill Lynch, Pierce, Fenner & Smith Inc Bank of America Cross, Anita Gasser, Robert Barclays Capital… [read post]
3 Jul 2019, 1:29 pm
[contact-form-7]Contact UsShow less Morgan Taylor McCarthy Has Been Registered with Barclays Capital in New York, NY Since September of 2018 Morgan Taylor McCarthy has six years of experience in the securities industry with three firms, and has been registered with Barclays Capital in New York, NY since September 17, 2018, FINRA reports. [read post]
24 Sep 2010, 11:24 am
Barclays Capital, The Royal Bank of Scotland, Nomura American Holding, Inc. . . . [read post]
22 Jun 2010, 11:23 am
The Citizen Media Law Project, EFF, and Public Citizen have jointly submitted an amicus curiae brief to the Second Circuit Court of Appeals, urging the court to apply First Amendment scrutiny to the “hot news misappropriation” doctrine in Barclays Capital, Inc. v. [read post]
22 Jun 2010, 11:23 am
The Citizen Media Law Project, EFF, and Public Citizen have jointly submitted an amicus curiae brief to the Second Circuit Court of Appeals, urging the court to apply First Amendment scrutiny to the “hot news misappropriation” doctrine in Barclays Capital, Inc. v. [read post]
26 Mar 2012, 7:12 am
" Other Wall Street banks, including Barclays PLC's Barclays Capital, Bank of America Merrill Lynch and Citigroup Inc., are also looking at their processes for managing potential conflicts when getting hired on deals, in an effort to err on the side of caution especially given the heightened scrutiny on the issue, said people familiar with the matter. [read post]
15 Sep 2017, 11:51 am
Barclays Capital Inc., for alleged anti-fraud violations based on alleged overbilling of advisory fees and excess mutual fund sales charges, which resulted in $97 million monetary relief. [read post]
29 Nov 2020, 4:00 pm
[12] Id. at 2-3 (quoting Barclays Capital Inc. v. [read post]
21 Sep 2010, 7:09 pm
November 2, 2010 4:30 – 6:00 - Joint NIBA/CTA EXPO Cocktail Party (Sponsored by Telvent DTN) November 3, 2010 8:00 – 9:00 - Continental Breakfast (Sponsored by DMAXX) 8:45 – 9:00 – Welcoming Remarks (Sponsored by Barclay Hedge Ltd.) [read post]
5 Dec 2008, 10:45 am
Weil, Gotshal & Manges's Lori Fife has been managing the sale of Lehman Brothers Holdings Inc.'s sprawling financial assets. [read post]
24 Apr 2012, 8:00 am
Capacity: Marketing efforts need to be scaled to how much capital needs to be raised. [read post]
4 May 2015, 8:51 am
Giddens’s petition argued that, after a federal bankruptcy judge had approved the sale of Lehman’s investment business to Barclays Capital, Inc., with no cash to change hands in the deal, a lawyer for Barclays slyly altered the terms of the deal to allow it to receive about $4 billion in cash or cash equivalents, which Lehman had set aside in reserves to cover its trading decision in so-called derivatives. [read post]
18 Feb 2015, 6:37 am
Barclay’s Capital Real Estate, Inc. [read post]
