Search for: "Old Mutual Financial Network Securities, Inc."
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2 Jun 2011, 2:14 pm
The 12 investors, who were an average age of 73, paid a total of $122,630 in surrender charges from the liquidation of annuities from American Equity Investment Life Holding Co., Allianz Life Insurance Co. of North America, Old Mutual Financial Network and EquiTrust Life Insurance Co. [read post]
23 Dec 2013, 11:01 am
Maurice Joseph Chelliah (Chelliah) was recently barred from the financial industry by The Financial Industry Regulatory Authority (FINRA) over allegations that Chelliah converted $90,000 from two World Group Securities, Inc. [read post]
3 May 2021, 9:05 pm
Instead of engaging a storied investment bank to launch an initial public offering (IPO) through a well-developed network of institutional investors—such as pension funds, mutual funds, endowments, and exceptionally wealthy individual investors—Coinbase sold its shares directly to the investing public. [read post]
22 Oct 2015, 12:56 pm
The group’s oil operations run the gamut from upstream production to refineries to trucks and distribution networks necessary for transport and sale, resembling more oil cartel or state oil company than terrorist organization, what FT terms “ISIS Inc. [read post]
22 Dec 2023, 6:00 am
When Apple Inc. was preparing to introduce its Apple Pay feature on the iPhone in 2014, Visa Inc. and Mastercard Inc. worried it would drive down the “lucrative” fees they charge merchants who use their point-of-sale transaction payment networks, but instead of competing, Apple and the credit card companies reached a mutually beneficial anti-competitive agreement, according to the complaint filed by Mirage Wine & Spirits Inc. . .… [read post]
13 Jan 2016, 5:05 pm
Just as occurred in the financial accounting realm, old and stale governance models must be modified and enhanced to address the very real, difficult to control and ever increasing enterprise threat of cyber-attacks. [read post]
24 Jan 2020, 10:34 am
Instead of charging clients for the actual amount of the expenses, the SEC found that State Street routinely overbilled its clients, primarily through a secret markup added to the cost of sending secured financial messages through the Society of Worldwide Interbank Financial Telecommunication network. [read post]
16 Dec 2008, 5:07 pm
Rye is a division of MassMutual's Tremont Group Holdings Inc., in Rye, N.Y., which places wealthy clients and institutions, such as pension fund [read post]
16 Apr 2018, 4:48 pm
Securities and Exchange Commission (SEC) charged two co-founders of Centra Tech, Inc., (Centra) a purported financial services start-up, with orchestrating a fraudulent initial coin offering (ICO), a term that is meant to describe the offer and sale of digital assets issued and distributed on a blockchain, that raised more than $32 million from thousands of investors. [read post]
1 Jan 2014, 10:00 am
It has been posted to the Social Science Research Network and may be accessed here. [read post]
14 Nov 2017, 3:27 am
Several large companies, including Microsoft, Overstock.com, and DISH Network, along with hundreds of thousands of other vendors worldwide, now accept cryptocurrencies. [read post]
29 Mar 2023, 6:41 am
In what may be the initial shoe to drop in a possible ongoing larger financial investigation, Bragg has zeroed in on a set of activities that occurred in the course of the 2016 presidential campaign. [read post]
16 Jun 2016, 2:48 pm
Galen Marsh. 30-year old Galen Marsh joined Morgan Stanley in 2008 as a sales assistant, later becoming a customer service associate and then in 2014 a financial advisor. [read post]
13 Jul 2021, 5:54 am
In December 2020, the SEC filed an action against Ripple Labs Inc. [read post]
12 Dec 2017, 4:36 pm
The company, Munched, Inc. halted its ICO after being contacted by the SEC, and agreed to an order in which the Commission found that its conduct constituted unregistered securities offers and sales. [read post]
5 Jan 2022, 7:16 am
One does not speak here merely of the travails of blocking legislation in the context of the U.S. system of dispute resolution (that is old news and one which the U.S. system has already well internalized in its dispute resolution mechanisms as the Opinion nicely evidences). [read post]
27 Dec 2021, 7:26 am
The Patakis speak to Olukun's sense of mutual respect but also of his temper in the face of affront. [read post]
23 Jul 2021, 6:12 am
“This was the group that was making us a part of their business and we wanted them part of our business, so we wanted that mutual commitment,” Drobot said. [read post]
18 Dec 2019, 4:00 pm
So employers may continue to distribute disclosure materials the “old fashioned way” if they choose to do so. [read post]
9 May 2023, 9:01 pm
As discussed below, such disclosure would give voting stockholders a view into the consistency of messaging by the nominating stockholder and into the support network built by the nominating stockholder. [read post]
