Search for: "Prospect Financial Corp."
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21 Sep 2011, 3:23 pm
Inverview from Bloomberg: Harvey Miller, a partner at Weil Gotshal & Manges LLP, discusses the prospects of that Bank of America Corp. may put its Countrywide Financial Corp. unit into bankruptcy. [read post]
19 Oct 2015, 3:33 am
Corp Fin is in the process of combining the two examination groups devoted to reviewing filings made by financial service firms – AD Offices 7 and 12. [read post]
22 Sep 2011, 7:11 am
If you happen to be one of these prospective applicants, and if you’re wondering whether the JAG Corps is right for you, I will do my best here to provide some insight. [read post]
19 Dec 2006, 9:13 am
As Europe continues to absorb shock waves from the crisis in the American mortgage market, leading financial figures are starting to acknowledge that the turmoil could have a lingering effect on European banks and on the Continent's broader economic prospects. [read post]
20 Aug 2009, 1:22 am
With the prospect of something along the lines of a financial product safety commission hanging out there to potentially infringe on its authority, I suspect that the SEC in particular wants to be proactive in addressing what could be the next big blow-up. [read post]
5 Dec 2017, 9:46 am
SEC Files Fraud Charges – Premier Holding Corp. and its CEO Did you lose money investing in Premier Holding Corp. at the recommendation of your financial advisor? [read post]
20 Mar 2013, 3:53 am
Corp Fin Issues Rare Section 402 No-Action Letter Each time a new no-action response emerges from Corp Fin, I take a quick look. [read post]
1 Dec 2009, 8:00 am
Given the paucity of filings on Friday, we couldn't help but pay attention to the 10-K that TFS Financial Corp. [read post]
25 Aug 2016, 11:15 am
Target Corp, August 2, 2016, U.S. [read post]
8 Feb 2010, 2:38 pm
” SSEK offers prospective clients a free case evaluation. [read post]
15 Jul 2021, 7:47 am
Filing a Complaint against your Brokerage Firm The White Law Group is investigating FINRA arbitration cases involving financial advisor Douglas Szempruch and the liability his employer Aegis Capital Corp. may have for failure to properly supervise him. [read post]
21 Feb 2007, 6:10 pm
Baron interfered with Natanzon's business interests by "frustrating ERN's and Natanzon's ability to devote" their full time to the operation of their business.The Court held that Natanzon had failed to allege sufficient facts to establish either a contract with ISOs or a likelihood of a prospective business relationship with any identified ISOs, and dismissed the claim for failure to state a claim on which relief might be granted.3. [read post]
25 Aug 2015, 10:41 am
Malecki Law takes a proactive and informed approach to the financial news of today: actively engaging in fact-finding analysis on prospective cases from around the world. [read post]
3 Apr 2014, 2:41 pm
CLS Bank International is a large financial institution that operates a network which settles about $5 trillion of transactions a day; the CLS systems for settlement arguably infringe the Alice Corp. patent. [read post]
2 Aug 2022, 3:40 am
The events that led up to the enactment of the Sarbanes-Oxley Act principally involved accounting fraud, so Corp Fin inevitably became a very accounting-focused Division, with the review of public company filings becoming particularly focused on the financial statements and related disclosure. [read post]
19 Mar 2016, 5:21 am
Baytex Energy Corp. is an oil and gas company based out of Calgary, Alberta. [read post]
5 Sep 2015, 6:23 am
Smallwood has also reportedly been registered with Securities America, Inc., Multi-Financial Securities Corp., Vestax Securities Corp., LPL, and Walnut Street Securities. [read post]
10 Aug 2015, 4:40 am
In addition, Corp Fin granted this no-action letter to Citizen VC – an online venture capital firm – which was requesting that the Corp Fin Staff concur with its process for creating substantive, pre-existing relationships with prospective investors over the Internet and that resulting offers & sales under Rule 506(b) of limited liability company interests would not constitute general solicitation or general advertising under Rule 502(c) of Regulation D. [read post]
6 May 2020, 9:12 am
Aegis Capital Corp. [read post]
16 Oct 2012, 7:39 am
This provision may benefit late stage private companies pursuing a "dual-track" strategy, where the company files an IPO registration statement while simultaneously holding discussions with prospective acquirors. [read post]
