Search for: "Matter of Financial Corp."
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29 Jun 2016, 3:36 am
” “Golfing” Risk Factors Bass Berry’s Jay Knight sent along this risk factor for the Form S-1 that Titleist (corporate name – Acushnet Holdings Corp) recently filed for an IPO – a good example of a tailored risk factor: Changes to the Rules of Golf with respect to equipment could materially adversely affect our business, financial condition and results of operations. [read post]
13 Sep 2021, 7:00 am
Springlight Bottled Water Corp., 656 So. 2d 211 (Fla. 3d DCA 1995). [read post]
13 Sep 2021, 7:00 am
Springlight Bottled Water Corp., 656 So. 2d 211 (Fla. 3d DCA 1995). [read post]
13 Sep 2021, 7:00 am
Springlight Bottled Water Corp., 656 So. 2d 211 (Fla. 3d DCA 1995). [read post]
12 Feb 2019, 3:00 am
New Jersey’s AG submitted a letter supporting that position – and this excerpt from the Corp Fin’s response letter indicates that it was dispositive: When parties in a rule 14a-8(i)(2) matter have differing views about the application of state law, we consider authoritative views expressed by state officials. [read post]
23 Sep 2019, 12:47 pm
The firm neither admitted to nor denied the SEC’s findings in the matter. [read post]
13 Sep 2012, 1:04 pm
As a result of the scheme allegedly run out of 21st Century Real Estate Investment Corp. and several related companies, more than 4,000 financially distressed homeowners lost at least $7 million in fees they paid to the company, and many homeowners lost their homes to foreclosure. [read post]
13 Sep 2012, 1:04 pm
As a result of the scheme allegedly run out of 21st Century Real Estate Investment Corp. and several related companies, more than 4,000 financially distressed homeowners lost at least $7 million in fees they paid to the company, and many homeowners lost their homes to foreclosure. [read post]
2 Oct 2008, 4:00 pm
In Matter of Humane Society of the United States v. [read post]
25 Apr 2012, 1:15 pm
In a default decision, San Antonio broker-dealer Pinnacle Partners Financial, Corp. has been expelled by a FINRA hearing officer for Texas securities fraud. [read post]
12 Apr 2021, 3:03 am
Corp Fin Chief Says “Don’t Bet On It” Last week, John Coates, Acting Director of Corp Fin issued a statement titled “SPACs, IPOs and Liability Risk under the Securities Laws. [read post]
8 May 2023, 4:01 am
The earliest one is Matter of Endicott Johnson Corp. decided in 1974 by the Appellate Division, Third Department and later affirmed by the Court of Appeals. [read post]
21 Sep 2021, 9:24 am
Springlight Bottled Water Corp., 656 So. 2d 211 (Fla. 3d DCA 1995). [read post]
21 Sep 2021, 9:24 am
Springlight Bottled Water Corp., 656 So. 2d 211 (Fla. 3d DCA 1995). [read post]
21 Sep 2021, 9:24 am
Springlight Bottled Water Corp., 656 So. 2d 211 (Fla. 3d DCA 1995). [read post]
15 Jun 2009, 4:00 am
The decision in Matter of HMS Venture Management Corp. [read post]
26 Jan 2019, 2:24 am
QA3 Financial Corp., Respondent (FINRA Arbitration Decision 18-02111 / Janua... [read post]
13 Jul 2012, 10:46 pm
Alice Corp. [read post]
13 Jun 2017, 3:00 am
Here’s an excerpt: The article also makes clear that, if the Corp Fin Staff questions the use of a non-GAAP financial measure in the comment letter process, a public company may be able to convince the Staff that the use of a particular non-GAAP financial measure is appropriate and compliant. [read post]
12 Feb 2021, 11:24 am
OFS Securities, Inc. and Oriental Financial Services Corp., Respondents (FINRA Arbitration Award)FINRA Fines and Suspends CCO / AMLCO For Structuring (BrokeAndBroker.com Blog)Statement of Acting Chair Allison Herren Lee on Contingent Settlement Offers (SEC Release)Statement of Commissioners Hester M. [read post]
