Search for: "Matter of Financial Corp."
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23 Feb 2012, 4:51 am
Smart business owners seek advice from a business formation attorney to get advice that goes beyond the basics – including many often-overlooked financial issues. [read post]
21 Dec 2011, 1:37 pm
Bank of America Corp. will spend $335 million to resolve the largest-ever fair lending suit over allegations that Countrywide Financial systematically discriminated against qualified black and Hispanic borrowers, the Justice Department said today. [read post]
6 Aug 2014, 4:35 pm
WSJ.com: “Bank of America Corp. and the Justice Department are close to a deal in which the bank will pay between $16 billion and $17 billion to resolve allegations of mortgage-related misconduct in the run-up to the financial crisis, according to people familiar with the matter. [read post]
2 Feb 2017, 8:46 am
He was previously registered with Legend Securities, Inc. from March 2013 to February 2016, Aegis Capital Corp. from April 2012 to March 2013 and with John Thomas Financial from January 2008 to April 2012, according to BrokerCheck records. [read post]
4 Sep 2018, 2:22 pm
According to BrokerCheck Records, Warner has been subject to a regulatory matter in which the Financial Industry Regulatory Authority (FINRA) sanctioned Warner for the violation of the securities laws. [read post]
8 Feb 2012, 3:45 pm
The Financial Industry Regulatory Authority has filed a complaint against Charles Schwab Corp. [read post]
16 May 2013, 4:24 am
Corp Fin's New Director: The Mighty Keith Higgins! [read post]
7 Aug 2015, 10:32 am
In both cases, the claims covered software for use in the financial industry, as was true of the claims invalidated in Alice Corp. [read post]
8 Jul 2016, 3:22 am
It’s a fascinating office – but it deals with complex matters & requires a diplomatic touch. [read post]
8 Sep 2021, 6:37 am
Springlight Bottled Water Corp., 656 So. 2d 211 (Fla. 3d DCA 1995). [read post]
8 Sep 2021, 6:37 am
Springlight Bottled Water Corp., 656 So. 2d 211 (Fla. 3d DCA 1995). [read post]
8 Sep 2021, 6:37 am
Springlight Bottled Water Corp., 656 So. 2d 211 (Fla. 3d DCA 1995). [read post]
1 Oct 2008, 4:00 pm
Plaintiff, Shareholders, sued Ceridian Corp. claiming violations of §10(b) and §20(a) of the 1934 Act. [read post]
8 Aug 2018, 9:08 am
Thirty-five percent of National Securities brokers have a history of customer or legal disputes, financial matters and regulatory run-ins, according to a Reuters report published in June 2017. [read post]
19 Apr 2010, 9:26 am
The subject of that investigation: Countrywide Financial Corp. [read post]
24 Oct 2018, 3:00 am
– Quantitative data, including financial statement impact, related to the matter that illustrate whether or not a matter is significant to the company. [read post]
25 Nov 2013, 9:23 am
In the Matter of Jeffery Bruce Scharingson, Respondent (AWC 2012033287201, November 19, 2013).Scharingson entered the industry in 1993 and during the times relevant to this matter, he was associated from 2008 to July 12, 2012, with FINRA member firm Broker Dealer Financial Services Corp. [read post]
9 Nov 2021, 1:34 pm
The matter stems from an examination of the firm and a review of a customer’s arbitration complaint. [read post]
20 Jan 2010, 9:13 am
“Material” generally means it’s big enough to matter to the overall financial picture of the company. [read post]
7 Jun 2023, 7:29 am
It is a matter of preference. [read post]
