Still, the securities company is bullish, and advises clients to accumulate Indonesian stocks on weakness.
Brokerage services are offered through First Republic Securities Company, LLC.
He even called on Congress to consider new ways to assist the orderly unwinding of a big securities company (the way the FDIC handles the liquidation of a bank, for example), urging it to work with the Treasury Department on ideas.
The company also ran into legal trouble when the State of Washington Dept. of Financial Institutions, Securities Division found that the company was selling unregistered securities and not providing sufficient information about the company to its potential investors.
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One indicator that I and others watch most time but especially so in times like these is insider activity, which refers to the buying and selling activities of stocks and securities by company insiders, such as key executives and board members.
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Establishments that administer, oversee, and manage may hold the securities of the company or enterprise.
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Last fall, as Merrill careened with exposure to mortgage securities, the company under previous management approached Wachovia about a deal.
Croix headquarters of the company's servicing subsidiary, company securities filings show.
Recently a lot has been written about the emergence of new private company stock marketplaces (often referred to s secondary marketplaces) where buyers and sellers of private company securities can connect and transact.
His son, Tom, had remained with the company through 2010, but left after American Securities lost majority control of the company.
For a company issuing securities to fund its growth, shares are the least risky choice.
The company made Securities and Exchange Commission filings seeking approval for the two new ETFs last week.
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So unless you bought securities directly from the company, or your broker was in on something shady, you're out of luck.
The elder Mr. Buttaccio, 58, worked in the oil industry, according to a securities filing by a company that listed him as treasurer.
Of course, while Fannie Mae's securities state that the company is explicitly not backed by the American taxpayer, large national banks finance mortgages with consumer deposits insured by the government.
At OppenheimerFunds, cash collateral generated by securities lending may be invested in a fund run by the parent company but not registered with the Securities and Exchange Commission.
The lawsuit coincides with a settlement by the company and the Securities and Exchange Commission.
Feltl and Company and Sunrise Securities are acting as co-managers for the offering.
Fannie and Freddie's debt and securities are exempt from regulations that limit banks' exposure to the securities of any single private company.
The court had already ruled in a 1994 decision that private parties can't necessarily sue third parties for "aiding and abetting" securities fraud by a public company.
It turns out the gratuitously missing links are a perverse effect of the quiet period, a securities regulation under which the company cannot comment publicly on the offering.
In October, the company restructured the securities so the original maturity date was extended, with half the principal balance being due on Feb. 15, and the rest on March 13.
Salomon Smith Barney, the securities arm of financial services company Citigroup, recently said it would offer Internet trading later this year, reversing a previous policy of limiting clients' Internet access to research and portfolio checking.
That statute says that a company that sells securities to the public and then turns around and invests that money in a pool of securities is a mutual fund and subject to a comprehensive mutual fund regulatory scheme.
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But go the extra mile: Ask your state's securities department to check into the company's principals.
He also planned on giving up 49% of the company and some other securities to bondholders.
It was conducted by University of Southern California business professor Kevin Murphy, based on company filings with the Securities and Exchange Commission.
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The bureaucrats' side was showcased at the U.S. Securities and Exchange Commission and Public Company Accounting Oversight Board roundtable hearing last week on Sarbanes-Oxley's section 404.
This would be like the FBI including the management of a company being investigated for securities fraud in internal FBI briefings before a decision is even made whether prosecution is warranted.
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Invests in company restructurings and distressed securities.
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