Search for: "RBC Capital Markets Corporation"
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24 Jun 2012, 6:53 pm
Last week the Association of Corporate Counsel (ACC) announced the 2012 ACC Value Champions, 12 winners of awards that recognizes “effectively driving value by cutting spending, improving predictability and achieving better legal outcomes. [read post]
18 Jul 2022, 2:37 pm
In RBC Capital Markets, LLC v. [read post]
13 Mar 2014, 12:31 pm
RBC requires insurance companies with higher amounts of risk to retain higher amounts of capital and surplus. [read post]
22 Jun 2018, 6:52 pm
From 2007 to 2009, Vaccaro was registered with RBC Capital Markets Corporation. [read post]
11 Sep 2023, 8:02 am
First, RBC Capital Markets published an investigative report concluding that NVIDIA had significantly understated the amount of its crypto-related sales. [read post]
25 Feb 2019, 12:53 pm
Obtaining such licenses requires substantial time, effort and capital (as discussed below). [read post]
12 May 2008, 8:09 pm
Yet each one, briefly noted below, also involves some interesting additional variations on previously established subprime litigation themes.Royal Bank of Canada Auction Rate Securities Lawsuit: On May 12, 2008, plaintiffs’ counsel announced (here) an auction rate securities-related class action lawsuit against Royal Bank of Canada and its subsidiaries, RBC Dain Rauscher and RBC Capital Markets Corporation. [read post]
23 Jun 2016, 2:25 pm
PLTP’s financing plan included: Negotiating an $874.6 million Transportation Infrastructure Finance and Innovation Act (TIFIA) loan, which closed June 14; Securing approximately $313 million in Private Activity Bonds (PABs), issued through the Maryland Economic Development Corporation and underwritten by JP Morgan and RBC Capital Markets, on June 17; Harnessing $138 million in private equity from PLTP’s members; and Utilizing approximately $900 million… [read post]
23 Jun 2016, 2:25 pm
PLTP’s financing plan included: Negotiating an $874.6 million Transportation Infrastructure Finance and Innovation Act (TIFIA) loan, which closed June 14; Securing approximately $313 million in Private Activity Bonds (PABs), issued through the Maryland Economic Development Corporation and underwritten by JP Morgan and RBC Capital Markets, on June 17; Harnessing $138 million in private equity from PLTP’s members; and Utilizing approximately $900 million… [read post]
5 Oct 2020, 9:13 am
BMO Capital Markets and RBC Capital Markets were joint book-running managers with Wedbush PacGrow and JMP Securities acting as co-lead managers for the offering. [read post]
14 Nov 2011, 2:13 pm
Nearly half of these defendants were senior corporate executives, CEOs and CFOs. [read post]
19 Jun 2017, 11:36 am
From March 2009 until October 2010, Hebner was registered with RBC Capital Markets Corporation. [read post]
25 Jul 2019, 12:05 pm
Rogers has also been registered with the following firms: RBC Capital Markets Corporation, San Jose, CA— August 16, 2004 to July 8, 2010Morgan Stanley DW Inc., Purchase, NY— July 25, 1998 to August 20, 2004 Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated. [read post]
8 Jul 2015, 4:47 am
Prior to commencing employment at PKS, Phillips worked for RBC Capital Markets Corporation in Woodland Hills, California. [read post]
20 Sep 2008, 4:50 pm
According to RBC Capital Markets an AIG meltdown would have cost the financial industry $180B because AIG provided insurance on more than $441B of fixed income investments tied to the world's biggest institutions, including $57.8B tied to sub prime mortgages. [read post]
14 Mar 2012, 8:43 am
Among the other market crisis cases brought by the SEC are proceedings against: • RBC Capital Markets LLC who was named in a September 2011 settled administrative proceeding brought by the SEC for misconduct relating to the sale of unsuitable investments (credit-linked notes that were tied to the performance of synthetic collateralized debt obligations or "CDOs") to five Wisconsin school districts; • Thomas Wu, the former CEO of United… [read post]
15 Oct 2011, 6:02 am
As discussed here, the SEC announced on Tuesday, September 27 that it had filed a settled administrative proceeding against RBC Capital Markets LLC, a broker-dealer, for misconduct relating to the sale of unsuitable investments (credit-linked notes that were tied to the performance of synthetic collateralized debt obligations or "CDOs") to five Wisconsin school districts. [read post]
15 Oct 2011, 6:02 am
As discussed here, the SEC announced on Tuesday, September 27 that it had filed a settled administrative proceeding against RBC Capital Markets LLC, a broker-dealer, for misconduct relating to the sale of unsuitable investments (credit-linked notes that were tied to the performance of synthetic collateralized debt obligations or "CDOs") to five Wisconsin school districts. [read post]
19 Jun 2023, 2:05 pm
Vestax Securities Corporation Brian Wurdemann RBC Capital Markets, LLC UBS Financial Services Inc. [read post]
10 Apr 2012, 2:19 pm
Settle FINRA Securities Allegations, Stockbroker Fraud Blog, April 6, 2012 CFTC Says RBC Took Part in Massive Trading Scam to Avail of Tax Benefits, Stockbroker Fraud Blog, April 4, 2012 Wirehouses Struggle to Retain Their Share of the High-Net-Worth-Market, Institutional Investor Securities Blog, April 6, 2012 [read post]
