Search for: "Capital One Financial Corp."
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5 Oct 2009, 1:48 pm
On Sept. 14, 2006, a National Association of Securities Dealers arbitration panel (now the Financial Industry Regulatory Authority) fined Securities America $2.5 million for failing to adequately supervise one of its brokers, David L. [read post]
5 Jan 2021, 8:23 am
His previous employers included Spartan Capital Securities, LLC (CRD#:146251) of New York, NY, Aegis Capital Corp. [read post]
14 Nov 2008, 12:23 pm
Then again, one may have the jaundiced view expressed by a member yesterday: "The chances of getting email questions answered by Corp Fin are about as good as getting phone calls answered these days - slim to none. [read post]
18 Jun 2013, 11:16 am
Morton has been hired as Senior Vice President of Capital One Financial Corp. heading compliance starting this August. [read post]
18 Jun 2013, 11:16 am
Morton has been hired as Senior Vice President of Capital One Financial Corp. heading compliance starting this August. [read post]
18 Jul 2022, 4:06 am
(Capital & Main by Susan Antilla)Boom, boom, boom, Charles Schwab Corp. just spent $220 million to shuck three lawsuits -- a likely 'deck clearing' before the TD Ameritrade merger closes, say multiple analysts / A 2017 Scottrade class action suit inherited from TD Ameritrade, a robo-advice disclosure settlement, and TDA merger class action have all gone poof (RIABiz by Oisin Breen)Equitable Financial To Pay $50 Million Penalty To Settle SEC Charges That It… [read post]
10 Jan 2014, 6:04 am
Thomas (Thomas) formerly with Lincoln Financial Advisors Corp. [read post]
7 Aug 2015, 10:32 am
Capital One Bank, 2015 U.S. [read post]
3 Aug 2009, 2:58 pm
LLC, National Securities Corp., Next Financial Group Inc. and Securities America Inc. [read post]
2 Dec 2011, 1:27 pm
., Medical Capital Financial Corp., and Shale (Provident) Royalties. [read post]
15 Aug 2016, 11:39 am
Recent orders applicable to Fred Hanna, Encore Capital Group, Inc., Midland Funding, LLC, Midland Credit Management, Inc., Asset Acceptance Capital Corp., PRA, LLC, Porfolio Recovery Associates, Chase Bankcard Services, Santander Bank, N.A., Solomon & Solomon P.C., Westlake and Wilshire etc. can be found here on the CFPB site. [read post]
1 Sep 2015, 7:34 am
Since March 2014, Mamane has been associated with Aegis Capital Corp. [read post]
11 Dec 2015, 3:06 am
(here’s one such blog). [read post]
15 Oct 2014, 2:30 pm
Rural, In re El Paso Corp. [read post]
6 Oct 2009, 9:24 am
LLC, National Securities Corp. and Next Financial Group. [read post]
16 Nov 2006, 11:18 pm
Countrywide Financial Corp., the biggest U.S. mortgage lender, has told regulators that it wants to apply for a federal savings bank charter so it could work with one U.S. regulator instead of two. [read post]
22 Mar 2010, 10:39 pm
The arrangement enabled Capital One, an arm of Capital One Financial Corp., to re-age debts so that the statute of limitations period started new, according to McGraw's office. [read post]
11 Sep 2015, 1:43 pm
Capital One Financial Corporation (Fed. [read post]
14 Jan 2021, 8:43 am
” According to his FINRA BrokerCheck report, Luftschein was registered with Aegis Capital Corp. in Melville, New York, from 2013 until December 2016. [read post]
8 Sep 2008, 11:14 pm
UAL shares fell 76 percent to $3 after the article was posted on the Bloomberg financial news service. [read post]
