Search for: "Puerto Rico Financial Institutions Commissions"
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14 Dec 2011, 2:45 pm
., has agreed to pay $46 million to settle charges brought by the Securities and Exchange Commission that Wachovia fraudulently rigged bids in municipal bond reinvestment transactions in 25 states and Puerto Rico. [read post]
31 Aug 2012, 3:47 pm
In an unrelated securities fraud case, the SEC is suing Ricardo Banally Rajas of Puerto Rico and his firm Shadai Yire over their alleged involvement in a $7M Ponzi scam that targeted about 200 unsophisticated investors, both from the mainland and the island, between August 2005 and February 2009. [read post]
1 Sep 2020, 12:00 pm
., author of Descubrimiento de información electrónica en Puerto Rico DON’T SAY WE DIDN’T WARN YOU! [read post]
5 Sep 2012, 4:17 pm
The Commission also looked to the Library of Congress to review other studies on this subject. [read post]
13 Oct 2015, 1:37 pm
For further information, contact us at 212-509-6544 or by email.Related articlesUBS Fined $545 Million in Forex ScandalUBS Puerto Rico Investment Problems Expand More Fraud Charges Against UBSUBS Puerto Rico Bond Problems---The attorneys at Sallah Astarita & Cox include veteran securities litigators and former SEC Enforcement Attorneys. [read post]
12 Sep 2018, 8:05 am
Applications that draw on this data make it possible for consumers to view banking and other financial account information (often held at different financial institutions) on a single platform, compare financial and investment products, and even make payments or execute transactions. [read post]
5 Oct 2018, 1:39 pm
Indeed, the fall of Lehman Brothers, Bear Stearns and other financial institutions, which caused deep losses in the retirement accounts of Mom and Pop investors, did not result in a single prosecution of the wrongdoers who misled investors and hurt their own firms and shareholders. [read post]
25 Sep 2018, 9:30 am
Our investor lawyers represent retirees, other individual investors, family and small business owners, high net worth individual investors, and institutional clients. [read post]
26 Sep 2018, 1:06 am
The US Securities and Exchange Commission is ordering TD Ameritrade Inc. [read post]
24 May 2012, 10:54 pm
According to the Commission, while working at Morgan Stanley’s real estate investment and fund advisory business, Peterson secretly obtained real estate investments worth millions of dollars from the financial firm’s funds not just for himself but also for others, including the ex-chairman of a Chinese state-owned entity that could influence Morgan Stanley's real estate business in that country. [read post]
27 Mar 2020, 3:38 pm
Members of Congress also include members of the Senate, the House, Delegate to the House, and the Resident Commissioner of Puerto Rico. [read post]
23 Jun 2021, 2:00 pm
S.2092 - A bill to permanently authorize the Native Community Development Financial Institutions lending program of the Department of Agriculture, and for other purposes. [read post]
28 Sep 2017, 9:30 pm
The waiver will lift shipping restrictions to Puerto Rico, enabling the island to receive necessary aid following Hurricane Maria. [read post]
26 Aug 2016, 8:36 am
In Puerto Rico, we will see an investment opportunity like this take off very soon and it will be presented during community reinvestment week the second week of October. [read post]
18 Oct 2012, 10:03 pm
File No. 3-15058, 10/3/12 (PDF) More Blog Posts: FINRA Securities Fraud Roundup: Guggenheim Securities Fined $800K For Failure to Supervise CDO Traders, Brokerage Firm Managing TIC Securities Doesn’t Have to Arbitrate Investor Claims, & Investor Award in Morgan Keegan Funds is Upheld, Institutional Investor Securities Blog, October 12, 2012 CFTC Securities Fraud Roundup: Commissioner Bart Chilton Wants Financial System to Adopt Risk-Based Compensation System, Agency… [read post]
11 Dec 2020, 6:43 am
China also became the owner of the world’s only operational giant single-dish space telescope after Puerto Rico’s Arecibo Observatory platform collapsed on Dec. 1. [read post]
7 Aug 2018, 2:03 pm
” The Journal reported that AMEX sales people would often tell potential clients that the company would beat the price they were paying banks or other financial institutions to convert currency and send money abroad. [read post]
16 Oct 2019, 3:55 am
” Yesterday, the justices heard argument in Financial Oversight Board for Puerto Rico v. [read post]
15 Mar 2012, 8:26 am
Many states' FOI Acts have trade-secret exemptions from disclosure, and the Uniform Trade Secrets Act, which 46 states, the District of Columbia, and Puerto Rico have adopted, defines "person" in the same way as the Connecticut Trade Secrets Act - to include government agencies. [read post]
9 Oct 2008, 9:58 am
Further, to qualify as a "financial institution" under the Act, an institution must be established and regulated under the laws of the United States or any State, territory or possession of the United States, the District of Columbia, Commonwealth of Puerto Rico, Commonwealth of Northern Mariana Islands, Guam, American Samoa or the United States Virgin Islands, and must have "significant operations" in the United States. [read post]
