Search for: "United Security Financial Corp."
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22 Apr 2015, 8:19 am
In the face of recent high-profile data breaches affecting both private and public entities such as Target Corp. and the United States Postal Service, the need for an efficient and effective way for entities to share cybersecurity threat indicators and deter future attacks is increasing. [read post]
Financial Advisor Sanctioned Over Allegations of Unsuitable Overconcentrations of Private Placements
26 Aug 2014, 5:26 am
Lard entered the securities industry in 1994 and was associated with QA3 Financial Corp. [read post]
25 Apr 2012, 7:31 pm
Read the SEC's complaint (PDF) Ex-H&R Block Unit Agrees To Pay $28.2 Mln To Settle SEC Charges, The Wall Street Journal, April 24, 2012 More Blog Posts: Residential Mortgage-Backed Securities Working Group Brings Federal Investigators and State Law Enforcement Officials Together to Investigate How MBS Abuses Contributed to 2008 Financial Crisis, Institutional Investor Securities Blog, January 30, 2012 Federal Home Loan Banks Say Countrywide… [read post]
25 Apr 2008, 3:28 pm
., a unit of Regions Financial Corp., announced that it had been relieved of its responsibility to oversee seven bond mutual funds. [read post]
24 Nov 2020, 12:02 pm
Financial exploitation of older adults and taking financial advantage of the elderly is rising trend and growing problem in the United States. [read post]
23 Jul 2020, 8:07 pm
The bill would amend the Securities Exchange Act (SE Act) of 1934. [read post]
11 Dec 2014, 1:35 am
Dec 9 (Reuters) - A TD Ameritrade Holding Corp employee who said the firm retaliated against him for complaining about potential securities law violations must arbitrate the claim instead of suing in court, a federal appeals court ruled on Monday.The ruling by the 3rd U.S. [read post]
29 May 2013, 10:57 am
According to their website, Commonwealth Capital Corp., is an equipment leasing and financial services company that was founded in 1978 and is located in Pennsylvania. [read post]
5 Jul 2013, 8:30 am
Getting people to work together – between Enforcement, Corp Fin, and the various Chief Accountants' Offices – could very well improve the SEC's monitoring of disclosures and offer Enforcement a look into "the next big thing" in financial reporting, which often happens in the Corp Fin comment process. [read post]
22 Apr 2014, 10:30 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Edward Dulin, a broker currently working at Bank of America Corp’s Merrill Lynch unit, alleged his ex-employer UBS AG misled its advisors about the financial health of Lehman Brothers Holdings Inc. [read post]
19 Mar 2016, 5:21 am
Baytex Energy Corp. is an oil and gas company based out of Calgary, Alberta. [read post]
16 Nov 2014, 7:37 am
White & Co., First America Equities Corp., Augusta Securities Corp., Suntrust Equitable Securities, J.C. [read post]
2 Jan 2007, 11:48 pm
Every securities firm in the United States must register with the NASD. [read post]
14 Jun 2010, 5:30 am
Countrywide Financial Corp., Slip Copy, 2009 WL 2499149 (S.D.N.Y., Aug 14, 2009)(NO. 08 CIV. 11343RJH). [read post]
9 Dec 2011, 4:56 am
Here's analysis from Alex Cohen of Latham & Watkins: Under the new policy, FPIs that are only listing securities in the United States - as opposed to FPIs that are listed or concurrently listing outside the United States - will in most cases no longer be able to submit confidentially. [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]
20 Jan 2016, 1:14 pm
Osnato, Chief of the SEC Enforcement Division’s Complex Financial Instruments Unit. [read post]
6 Jul 2011, 10:11 pm
• WMC Mortgage Corp. [read post]
23 Nov 2011, 1:24 pm
Chase Investment Services Corp. has been ordered to reimburse customers $1.92 million for losses they incurred after Chase Investment brokers recommended the customers purchase unsuitable unit investment trusts and floating rate loan funds, the Financial Industry Regulatory Authority (FINRA) announced on Nov. 15. [read post]
8 Apr 2014, 5:24 am
Wyndham Worldwide Corp., denying Wyndham’s challenge to the FTC’s authority to regulate data security under Section 5 of the FTC Act. [read post]
