Search for: "Securities America, Inc."
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8 Aug 2011, 12:06 pm
August 08, 2011 1:14 PM EDT NEW YORK (AP) — American International Group Inc. said Monday it sued Bank of America Corp. for more than $10 billion, saying the bank cheated it by selling residential mortgage-backed securities that were overvalued.... [read post]
26 Jan 2010, 1:01 pm
On Jan. 26, 2010 the SEC instituted a rare "stop-order" proceeding under Securities Act section 8(d) to stop sales of securities of Tsukuda-America Inc. pursuant to a Form S-1 registration statement declared effective April 14, 2009. [read post]
9 Aug 2013, 8:34 am
(BANA), Banc of America Mortgage Securities, Inc. [read post]
12 Apr 2007, 2:26 pm
Florida patent holder and intellectual property company, Every Penny Counts, Inc., has sued Bank of America for patent infringement in the United States District Court for the Middle District of Florida. [read post]
8 Sep 2016, 8:04 am
(AFIN) and American Realty Capital Retail Centers of America, Inc. [read post]
SEC Charges TradeZero America and Co-Founder with Deceiving Customers about Meme Stock Trading Halts
24 May 2022, 11:05 am
The Securities and Exchange Commission today charged broker-dealer TradeZero America Inc., and its co-founder, Daniel Pipitone, with falsely stating to the firm’s customers that they didn’t restrict the customers’ purchases of meme stocks when in fact…Read the Full Press ReleaseHave a securities law question? [read post]
10 Aug 2015, 7:03 am
The requests may have related to the reasons Securities America, Inc. [read post]
18 Jul 2007, 12:31 pm
Securities America, Inc. agreed to a $375,000 fine to settle charges by the NASD that it received improperly directed mutual fund commissions on behalf of one of its brokers, failed to supervise and failed to disclose the arrangements to the affected mutual fund owners. [read post]
24 Aug 2009, 10:34 am
According to a recent article in InvestmentNews, a former executive of Securities America feared a "panicked run on the bank" for clients who held securities issued by Medical Capital Holdings Inc. [read post]
9 Jul 2015, 8:13 am
According to a recent InvestmentsNews report, Massachusetts regulator, William Galvin, has charged Securities America Inc. with failure to supervise Barry Armstrong, a broker who allegedly targeted senior citizens by using deceptive advertising on his radio show. [read post]
29 Jan 2010, 2:17 pm
On January 26, 2010, Securities America, the beleaguered brokerage firm that is already subject to a multitude of securities fraud lawsuits, including a pending class action in California, was charged by the State of Massachusetts with misleading investors in the sale of notes issued by companies owned by Medical Capital Holdings, Inc. [read post]
22 Jan 2011, 10:54 am
Bank of America Corp. [read post]
25 Mar 2021, 4:03 am
(BrokeAndBroker.com Blog)Massachusetts Man Pleads Guilty to Bank Fraud (DOJ Release)SEC Charges New Hampshire Issuer of Digital Asset Securities with Registration Violations (SEC Release)FINRA Censures, Fines, and Orders Restitution in Securities America, Inc. [read post]
22 Sep 2009, 2:26 pm
Following a Texas securities fraud claim that Bank of America's Merrill Lynch, Pierce, Fenner & Smith Inc. allowed unregistered sales persons to sell securities, the Bank of America unit has agreed to pay $26.5 million as part of a national settlement over the allegations. [read post]
28 Feb 2018, 6:57 am
The company operates in two segments, Real Alloy North America and Real Alloy Europe. [read post]
10 Feb 2010, 6:29 pm
Earlier this week, Recticel North America, Inc. and its affiliate Recticel Interiors North America, LLC filed a proposed Joint Plan of Reorganization under Chapter 11 of the Bankruptcy Code with the Eastern District of Michigan bankruptcy court. [read post]
23 Apr 2021, 1:06 pm
Travelers Casualty & Surety Company of America that stockholder suits alleging breaches of fiduciary duty in connection with a merger do not constitute a “securities claim” in the context of D&O policies. [read post]
10 Jan 2012, 12:03 pm
DiFrancesco entered the securities industry in 1994 and in October 2004 joined Banc of America Investment Services, Inc. (? [read post]
2 Jul 2007, 7:17 pm
The fine amounts are $473,000 against MML Investors Services, Inc., $354,000 against NYLIFE Securities LLC, $322,000 against Securities America, Inc. and $100,000 against Northwestern Mutual Investment Services. [read post]
3 Aug 2009, 1:23 pm
On August 3, 2009, the Securities and Exchange Commission ("SEC") announced that it was entering into a Consent Judgement with Bank of America Corporation ("BoA" or the "Company") in connection with the Company's issuance of a joint proxy statement filed with the SEC as to BoA's acquisition on Merrill Lynch & Co., Inc. [read post]
