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About 821 results for "federal security and exchange commission"

SEC files charges against Manhattan lender and owner

The Securities and Exchange Commission has announced a federal court filing of fraud charges against a Manhattan-based lending company and its owner accused of repeatedly lying to investors purchasing high-yield securities. The SEC also charged the ... Bankers Online, 2 days ago

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The Guardian Nigeria, 3 days ago
EFE, 4 days ago
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KPAX, 2 weeks ago

A Closer Look With Arthur Levitt: Jeffrey Lacker (Audio)

Arthur Levitt, former chairman of the U.S. Securities and Exchange Commission, interviews Dr. Jeffrey Lacker, president of the Richmond Federal Reserve Bank, on Bloomberg Radio's "A Closer Look With Arthur Levitt." To contact the producer and ...
 Bloomberg1 day ago

Imprivata, Inc. Shareholder Alert: Former SEC Attorney Willie Briscoe And Powers Taylor Investigate Possible Breaches Of Fiduciary Duty By Officers And Directors

Former United States Securities and Exchange Commission attorney Willie Briscoe, founder of The Briscoe Law Firm, PLLC, and the securities litigation firm of Powers Taylor LLP announce that a federal class action lawsuit has been filed in the United ...
 TheStreet.com1 day ago Tetraphase Pharmaceuticals, Inc. Shareholder Alert: Former SEC Attorney Willie Briscoe and Powers...  Stockhouse Canada1 day ago IMPRIVATA : Shareholder Alert: Former SEC Attorney Willie Briscoe and Powers Taylor Investigate Possible Breaches of Fiduciary Duty by Officers and Directors  4 Traders1 day ago TETRAPHASE PHARMACEUTICALS : Shareholder Alert: Former SEC Attorney Willie Briscoe and Powers Taylor Investigate Possible Breaches of Fiduciary Duty by Officers and Directors  4 Traders1 day ago
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SEC Settles With Miami Firm Over Anti-Money Laundering Protocols

Source: ThinkstockThe U.S. Securities and Exchange Commission (SEC) recently announced that a Miami-based brokerage firm has agreed to pay a $1 million penalty to settle charges that it violated anti-money laundering rules by allowing foreign ...
 24/7 Wall St1 day ago SEC: Miami Firm Broke Anti-Money Laundering Protocols  Noodls2 days ago SEC : Miami Firm Broke Anti-Money Laundering Protocols  4 Traders2 days ago
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Nasdaq

Wells Fargo Resolves FHA Mortgage Suit; To Pay $1.2 Billion

On Wednesday, as per a U.S. Securities and Exchange Commission filing, Wells Fargo & Company WFC agreed to end a three-year-old mortgage litigation filed by the U.S. government regarding the bank's Federal Housing Administration ('FHA') lending ...
 Nasdaq2 days ago Wells Fargo To Pay $1.2 Billion In FHA Mortgage Case, Trims 2015 EPS  Barchart2 days ago How to Avoid Mortgage Refinance Scams  MyInforms3 days ago

American Growth Funding II, LLC, Portfolio Advisors Alliance, Inc., Ralph C. Johnson, Howard J. Allen III, and Kerri L. Wasserman

SEC - The United States Securities and [...] (via noodls) / U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23459 / February 3, 2016 Securities and Exchange Commission v. American Growth Funding II, LLC, Portfolio Advisors ...
 Noodls2 days ago

Focus Litigation Consulting Speaks on Jury Selection at U.S. Securities & Exchange Commission National Trial Attorneys Conference

Contrary to others in the field, our consultants not only have specialized training in legal psychology, communications, and advocacy, but they are also certified image consultants, color analysts, and body language experts. We focus not only on the ...
 Press Release Ping1 day ago
Channels TV Nigeria

E-Dividend Payment: SEC To Meet Retail Investors In Lagos

The management team of the Securities and Exchange Commission (SEC) is expected in Lagos for four days beginning Monday next week. This is to interact with retail investors on the new electronic form of cash dividend payments and the move to ...
 Channels TV Nigeria2 days ago

Securities and Exchange Commission of Pakistan issues directive to protect insurance policy holders

(PPI-OT): In order to raise awareness among the public about availability of the insurance policyholders grievance resolution forums, the Securities and Exchange Commission of Pakistan (SECP) has issued a circular requiring all insurers to ...
 MediaLine Pakistan3 days ago

UBS : declares monthly coupon payments on thirteen ETRACS Exchange-traded Notes.

About ETRACS ETRACS ETNs are senior unsecured notes issued by UBS AG, are traded on NYSE Arca, and can be bought and sold through a broker or financial advisor. An investment in ETRACS ETNs is subject to a number of risks, including the risk of loss ...
 4 Traders3 days ago UBS Declares Coupon Payments on Thirteen Monthly Pay ETRACS Exchange-Traded Notes  Bloomberg3 days ago
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