Wells Fargo Bank Statement Template Free
Total Page:16
File Type:pdf, Size:1020Kb
Load more
Recommended publications
-
1985 0101 NSCCAR.Pdf
National Securities Clearing Corporation Corporate Office 55 Water Street New York, New York 10041 (212) 510-0400 Boston One Boston Place Boston, Massachusetts 02108 Chicago 135 South LaSalle Street Chicago, Illinois 60603 Cleveland 900 Euclid Avenue Cleveland, Ohio 44101 Dallas Plaza of the Americas TCBTower Dallas, Texas 75201 Denver Dominion Plaza Table of Contents 600 17th Street Denver, Colorado 80202 To NSCC Participants 2 Detroit NSCC Board of Directors 4 3153 Penobscot Building Detroit, Michigan 48226 NSCC Officers 8 Jersey City Introduction 9 One Exchange Place Jersey City, New Jersey 07302 The Year in Review 10 Los Angeles Municipal Bond Program 12 615 South Flower Street Los Angeles, California 9001.7 Fund/SERV 14 Milwaukee Automated Customer Account Transfer Service 16 777 East Wisconsin Avenue Milwaukee, Wisconsin 53202 International Securities Clearing Corporation 18 Minneapolis Audited Financial Statements 20 IDS Center 80 South 8th Street Participating Organizations 26 Minneapolis, Minnesota 55402 New York 55 Water Street New York, New York 10041 St. Louis One Mercantile Tower Cover: 1985 was a year during which NSCC anticipated and St. Louis, Missouri 63101 responded to the expanding needs of the financial services San Francisco industry ... 50 California Street • As marketplace self-regulatory organizations, represented San Francisco, California 94111 here by a New York Stock Exchange Guide/Constitution Toronto and Rules, proposed new rules on broker-dealers' transfer Two First Canadian Place of client accounts, NSCC implemented the Automated Toronto, Ontario, Canada M5X lA9 Customer Account Transfer Service. • While continuing to serve its traditional equity, corporate bond and municipal bond marketplaces, represented by volume charts on the computer screen, NSCC expanded its comparison services to include municipal bond syndi cates, when-issued and extended-settlement trades. -
School of Economics & Business Administration Master of Science in Management “MERGERS and ACQUISITIONS in the GREEK BANKI
School of Economics & Business Administration Master of Science in Management “MERGERS AND ACQUISITIONS IN THE GREEK BANKING SECTOR.” Panolis Dimitrios 1102100134 Teti Kondyliana Iliana 1102100002 30th September 2010 Acknowledgements We would like to thank our families for their continuous economic and psychological support and our colleagues in EFG Eurobank Ergasias Bank and Marfin Egnatia Bank for their noteworthy contribution to our research. Last but not least, we would like to thank our academic advisor Dr. Lida Kyrgidou, for her significant assistance and contribution. Panolis Dimitrios Teti Kondyliana Iliana ii Abstract M&As is a phenomenon that first appeared in the beginning of the 20th century, increased during the first decade of the 21st century and is expected to expand in the foreseeable future. The current global crisis is one of the most determining factors affecting M&As‟ expansion. The scope of this dissertation is to examine the M&As that occurred in the Greek banking context, focusing primarily on the managerial dimension associated with the phenomenon, taking employees‟ perspective with regard to M&As into consideration. Two of the largest banks in Greece, EFG EUROBANK ERGASIAS and MARFIN EGNATIA BANK, which have both experienced M&As, serve as the platform for the current study. Our results generate important theoretical and managerial implications and contribute to the applicability of the phenomenon, while providing insight with regard to M&As‟ future within the next years. Keywords: Mergers &Acquisitions, Greek banking sector iii Contents 1. Introduction ................................................................................................................ 1 2. Literature Review .......................................................................................................... 4 2.1 Streams of Research in M&As ................................................................................ 4 2.1.1 The Effect of M&As on banks‟ performance .................................................. -
H.2 Actions of the Board, Its Staff, and the Federal Reserve Banks
ANNOUNCEMENT BY BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM (H.2, 1980 No. 40) Actions of the Board; Applications and Reports Received During the Wedc Ending October 4, 1980 APPLICABLE RESERVE BANK ACTIONS OF THE BOARD Regulation K, International Banking Operations, the Board issued final regulations implementing provisions of the International Banking Act that limit the interstate bank- ing activities of foreign banks in the United States; the regulations become effective October 2, 1980. (Docket No. 0258) Regulation E, technical amendments, effective October 3, 1980, to implement the Electronic Fund Transfer Act; and a pro- posed amendment to be Issued for public comment; the Board requested comment on its proposal by November 5, 1980. Over-the-counter stocks, revised list published. Chicago Antioch Bancshares, Inc., Antloch, Illinois, extension of time to December 22, 1980, within which to become a bank holding company through the acquisition of 100 percent of the voting shares of the successor by merger to The First National Bank of Antioch, Antioch, Illinois. 1J Atlanta Creditbank Shares, Inc., Hollywood, Florida, extension of time to January 3, 1981, within which to become a bank holding company by acquiring shares of Creditbank, Miami, Florida. V Kansas City Equitable Bankshares of Colorado, Inc., Denver, Colorado, ex- tension of time to February 7, 1981, within which to con- summate the acquisftion of The Women's Bank, N.A., Denver, Colorado. 1/ Dallas Extra Co., Temple, Texas, extension of time to December 31, 1980, within which to consummate the acquisition of First National Bank of Temple, Temple, Texas. 1/ 1/ Application processed on behalf of the Board of Governors under delegated authority. -
Staff Study 174
Board of Governors of the Federal Reserve System Staff Study 174 Bank Mergers and Banking Structure in the United States, 1980–98 Stephen A. Rhoades August 2000 The following list includes all the staff studies published 171. The Cost of Bank Regulation: A Review of the Evidence, since November 1995. Single copies are available free of by Gregory Elliehausen. April 1998. 35 pp. charge from Publications Services, Board of Governors of 172. Using Subordinated Debt as an Instrument of Market the Federal Reserve System, Washington, DC 20551. To be Discipline, by Federal Reserve System Study Group on added to the mailing list or to obtain a list of earlier staff Subordinated Notes and Debentures. December 1999. studies, please contact Publications Services. 69 pp. 168. The Economics of the Private Equity Market, by 173. Improving Public Disclosure in Banking, by Federal George W. Fenn, Nellie Liang, and Stephen Prowse. Reserve System Study Group on Disclosure. November 1995. 69 pp. March 2000. 35 pp. 169. Bank Mergers and Industrywide Structure, 1980–94, 174. Bank Mergers and Banking Structure in the United States, by Stephen A. Rhoades. January 1996. 29 pp. 1980–98, by Stephen A. Rhoades. August 2000. 33 pp. 170. The Cost of Implementing Consumer Financial Regula- tions: An Analysis of Experience with the Truth in Savings Act, by Gregory Elliehausen and Barbara R. Lowrey. December 1997. 17 pp. The staff members of the Board of Governors of the The following paper is summarized in the Bulletin Federal Reserve System and of the Federal Reserve Banks for September 2000. The analyses and conclusions set forth undertake studies that cover a wide range of economic and are those of the author and do not necessarily indicate financial subjects. -
Wachovia Corporation 2007 RISK ASSESSMENT
Restricted - F.R. Wachovia Corporation 2007 RISK ASSESSMENT Top Tier Institution: Wachovia Corporation Business Lines: General Bank Group (GBG) Corporate Investment Bank (CIB) Capital Management Group (CMG) Wealth Management Group (WMG) Central Point of Contact: Richard F. Westerkamp, Jr. Team Members: Stan Poszywak, Deputy CPC and Basel Coordinator Danny Elder, Market Risk Nancy Stapp, Credit Risk Ryan Rehom, Interest Rate Risk and Liquidity Risk Jeremy Carter, Legal and Compliance Risk Todd Ryan, Operational Risk Jim Gearhart, Information Technology (IT) Kevin Littler, Financial Analyst Shared Support: Craig Frascati, Basel II Al Morris, Market Risk Jeremy Caldwell, Principal Investing Last Update: July 12, 2007 CONFIDENTIAL FCIC-134586 Restricted - F.R. Table of Contents page I. Institutional Overview 3 II. Risk Assessment Summary 20 Consolidated Executive Summary • Overall Summary Assessment of Inherent Risk 20 o Inherent Risk by Type • Overall Summary Assessment of Risk Management 23 o Risk Management and Controls o Risk Management by Type III. Detailed RAP Documentation 27 Credit Risk 27 Market Risk • Trading Book 47 • Banking Book 70 Liquidity Risk 84 Operational Risk 95 Legal and Compliance 116 IV. Risk l\1atrices and Institutional Overview Appendix Items 129 2007 Risk Matrices Appendix Items (Business Line Management) 2 CONFIDENTIAL FCIC-134587 Restricted - F.R. I. Institutional Overview Executive Summary Wachovia Corporation experienced significant growth through acquisition in Wachovia 3/31/07 RSSD 1073551 2006 2006 and the company is now the nation's fourth-largest financial holding Assets: $706Bn Nil : $15Bn company both in asset size and market capitalization (previously Wells Loans: $422Bn NIM: 3.12% Fargo's market capitalization was larger). -
NB Crossroads Private Markets Fund VI Custody LP Form POS AMI Filed
SECURITIES AND EXCHANGE COMMISSION FORM POS AMI Post-effective amendments to 40 Act only filings Filing Date: 2019-07-26 SEC Accession No. 0001140361-19-013506 (HTML Version on secdatabase.com) FILER NB Crossroads Private Markets Fund VI Custody LP Mailing Address Business Address 325 NORTH SAINT PAUL 325 NORTH SAINT PAUL CIK:1774376| IRS No.: 000000000 | State of Incorp.:DE | Fiscal Year End: 0331 STREET STREET Type: POS AMI | Act: 40 | File No.: 811-23442 | Film No.: 19978516 49TH FLOOR 49TH FLOOR DALLAS TX 75201 DALLAS TX 75201 (212) 476-8800 Copyright © 2019 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document TABLE OF CONTENTS As filed with the Securities and Exchange Commission on July 26, 2019 Investment Company Act File No. 811-23442 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 (CHECK APPROPRIATE BOX OR BOXES) ☒ REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 ☒ Amendment No. 1 NB CROSSROADS PRIVATE MARKETS FUND VI CUSTODY LP (Exact name of Registrant as specified in Charter) 325 North Saint Paul Street, 49th Floor Dallas, Texas 75201 (Address of principal executive offices) Registrants Telephone Number, including Area Code: (212) 476-8800 Corey Issing Neuberger Berman Investment Advisers LLC 1290 Avenue of the Americas New York, NY 10104 (Name and address of agent for service) COPY TO: Nicole M. Runyan, Esq. Proskauer Rose LLP Eleven Times Square New York, NY 10036 This Registration Statement of NB Crossroads Private Markets Fund VI Custody LP (the Registrant) has been filed by Registrant pursuant to Section 8(b) of the Investment Company Act of 1940, as amended (the 1940 Act). -
Investment Committee Memorandum NB PA Co-Investment Fund LP
Investment Committee Memorandum NB PA Co-investment Fund LP Private Equity Asset Class February 25, 2020 Page 1 PA SERS Private Equity Investment Recommendation Investment Recommendation SERS’ Investment Office Staff recommend that the State Employees’ Retirement System Investment Committee, subject to further legal due diligence, interview Neuberger Berman Alternative Advisors, LLC (“Neuberger Berman”, “NB” or the “Firm”) at the February 25, 2020 Investment Committee Meeting to consider a potential investment of up to $200 million to a separately managed account named the NB PA Co-investment Fund LP (“the SMA”, or the “Partnership”). SERS has not previously held an investing relationship with Neuberger Berman. As this SMA has been directly negotiated to have a custom investment mandate for SERS, it is a fund of one and the proposed commitment will be the fund size. Furthermore, there is no firm closing schedule, but SERS has agreed to target completing legal due diligence and closing by June 30, 2020 should approval be attained. Investment Rationale Staff identified NB PA Co-investment Fund as a strong candidate for SERS’ capital commitment as it offers: ➢ SMA strategy represents meaningful step forward in achieving funding objectives set out in PPMAIRC report; ➢ Bespoke co-investment solution crafted to satisfy numerous SERS objectives; ➢ Partnership with a top performing co-investment intermediary; ➢ High level of coverage with SERS’ existing core PE managers determined by cross checking Neuberger Berman track record and reference calls with SERS’ PE managers. SERS will benefit from joining with Neuberger Berman’s existing capacity, relationship history and negotiating power; ➢ Extendibility of partnership to other parts of Neuberger Berman’s platform including secondaries and private credit. -
WELLS FARGO Consolidated Statement of Financial Condition
WELLS FARGO CLEARING SERVICES, LLC Consolidated Statement of Financial Condition Wells Fargo Clearing Services, LLC (A Wholly Owned Limited Liability Company of Wachovia Securities Financial Holdings, LLC) December 31, 2017 (With Report from Independent Registered Public Accounting Firm Thereon) WELLS FARGO CLEARING SERVICES, LLC (A Wholly Owned Limited Liability Company of Wachovia Securities Financial Holdings, LLC) Consolidated Statement of Financial Condition December 31, 2017 (With Report from Independent Registered Public Accounting Firm Thereon) U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ANNUAL AUDITED REPORT FACING PAGE SEC FILE NUMBER Information Required of Brokers a nd Dealers 8-37180 FORMX-17A-5 Pursuant to Section 17 of the Securities Exchange Act of 1934 PART III and Rule 17a-5 Thereunder REPORT FOR THE PERIOD BEGINNING 01/01/17 AND E NDING 12/31/17 MMIDDNY MM/DDNY A. REGISTRANT IDENTIFICATION NAME OF BROKER-DEALER: Official Use On]v Wells Fargo Clearing Services, LLC FIRM ID. NO. ADDRESS OF PRINCIPAL P LACE OF BUSINESS: (Do not use P.O. Box No.) One North Jefferson (No. and Street) St. Louis MO 63103 (City) (State) (Zip Code) NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT Kathy Barney 314-875-2463 (Area Code - Telephone No.) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report-1, (Nam e - if individual, state last, first, middle name) KPMGLLP 10 South Broadway St. Louis MO 63102 (ADDRESS) Number and Street City Stat e Zip Code CHECK ONE: [J[J Certified Public Accountant [=i Public Accountant [=i Accountant not resident in United States 01· a n y of its possessions. -
What Reference Tool Answers All Your Questions About Check Disputes
2010 THE CHECK GUIDE What reference tool answers all your Q. questions about check disputes, forgeries, and banking law? A. Manatt’s Check Guide. Gene Elerding, a partner in Manatt, Phelps & Phillips’ Los Angeles office, has created The Check Guide, describing the rules that apply to check disputes (e.g., forgeries, alterations, counterfeit items, stop payment orders, and many other subjects). The 2010 Check Guide contains helpful forms, sample contract terms, investigation checklists, and dispute resolution procedures that can be used by bank attorneys, operations officers, security staff and risk managers to resolve check disputes. Mr. Elerding’s practice focuses on banking law, with an emphasis in regulatory and operational issues affecting financial institutions and advertisers. He represents a growing number of companies in connection with e-commerce, online banking, check disputes, deposit agreements, information management and payment system issues. He advises clients on a wide variety of legal issues affecting product development, privacy, vendor services, cash management, consumer disclosures and compliance. Prior to joining the firm, Gene was an Assistant Secretary and Assistant General Counsel for First Interstate Bank of California, where he practiced for 13 years. General rules are set out at the beginning of each chapter, footnotes identify or explain each rule, and an index is provided at the end to locate the applicable sections of the Commercial Code. Note: The Check Guide is not intended as legal advice; please consult an attorney. GENE ELERDING 310.312.4158 [email protected] Note to Readers Not Legal Advice. This Guide is not intended to express any legal opinions or to provide legal advice. -
3:17-Cv-00304-JFA Date Filed 05/01/17 Entry Number 22 Page 1 of 33
3:17-cv-00304-JFA Date Filed 05/01/17 Entry Number 22 Page 1 of 33 IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF SOUTH CAROLINA COLUMBIA DIVISION ROBERT BERRY, INDIVIDUALLY § AND ON BEHALF OF ALL OTHERS § SIMILARILY SITUATED, § § Plaintiff, § Civil Action No. No. 3:17-cv-00304-JFA § VS. § § UJURY TRIAL DEMANDED WELLS FARGO & COMPANY, § WELLS FARGO CLEARING § SERVICES, LLC, and WELLS FARGO § ADVISORS FINANCIAL NETWORK, § LLC, and DOES 1 thru 50, § § Defendants. § UPLAINTIFF’S FIRST AMENDED CLASS-ACTION COMPLAINT Plaintiff Robert Berry, individually and on behalf of all others similarly situated, files this First Amended Class-Action Complaint against Defendants Wells Fargo & Company, Wells Fargo Clearing Services, LLC f/k/a Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network LLC (collectively, “Wells Fargo”), and DOES 1 thru 50 (together with “Wells Fargo,” the “Defendants”) in order to require Wells Fargo to fund its pension benefit plans and to recover deferred compensation owed to Plaintiff and other Wells Fargo former and current employees that was improperly deemed forfeited in violation of ERISA. I. UPRELIMINARY STATEMENT 1. This ERISA class action is filed on behalf of former and current employees of Wells Fargo who did not receive money owed to them as deferred compensation. Plaintiff and other financial advisors participated in two deferred-compensation plans. The plans constitute “pension benefit plans” under ERISA, and are subject to ERISA’s funding, vesting, non- 3:17-cv-00304-JFA Date Filed 05/01/17 Entry Number 22 Page 2 of 33 forfeitability, and other requirements. These requirements mandate that Plaintiff’s and the class’s purportedly unvested deferred compensation is non-forfeitable. -
Wachovia Securities J.P.Morgan Banc of America Securities LLC UBS Investment Bank
The information in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities and are not soliciting an offer to buy these securities in any jurisdiction where the offer or sale is not permitted. FILED PURSUANT TO RULE 424(b)(3) REGISTRATION NO. 333-150884 SUBJECT TO COMPLETION, DATED SEPTEMBER 22, 2008 PROSPECTUS SUPPLEMENT (To prospectus dated May 13, 2008) 7,000,000 Shares Common Stock Healthcare Realty Trust Incorporated (“HR”) is a self-managed and self-administered real estate investment trust, or “REIT,” that owns, acquires, manages, finances and develops income-producing real estate properties associated with the delivery of healthcare services throughout the United States. HR is offering and selling 7,000,000 shares of its common stock with this prospectus supplement and the accompanying prospectus. HR’s common stock is listed on the New York Stock Exchange under the symbol “HR.” On September 18, 2008, the last reported sale price of HR’s common stock on the NYSE was $30.50 per share. Investing in the common stock of HR involves certain risks and uncertainties that are described in the “Forward-Looking Statements and Risk Factors” section beginning on page S-7. Neither the Securities and Exchange Commission nor any other regulatory body has approved or disapproved of these securities or passed upon the accuracy or adequacy of this prospectus supplement or the accompanying prospectus. Any representation to the contrary is a criminal offense. Per Share Total Public offering price $ $ Underwriting discount $ $ Proceeds (before expenses) to HR $ $ The underwriters have an option to purchase, within 30 days from the date of this prospectus supplement, a maximum of 1,050,000 additional shares to cover over-allotments of shares, if any, at the price set forth on the cover page of this prospectus supplement, less underwriting discounts and commissions. -
Court of Appeals STATE of NEW YORK
To Be Argued By: ROBERT J. GIUFFRA, JR., ESQ. Time Requested: 30 Minutes New York County Clerk’s Index No. 601475/09 Court of Appeals STATE OF NEW YORK ABN AMRO BANK N.V.;d BNP PARIBAS; CALYON; HSBC BANK USA, N.A.; KBC INVESTMENTS CAYMAN ISLANDS VLTD.; MERRILL LYNCH INTERNATIONAL; BANK OF AMERICA, N.A.; MORGAN STANLEY CAPITAL SERVICES INC.; NATIXIS; NATIXIS FINANCIAL PRODUCTS INC.; THE ROYAL BANK OF SCOTLAND PLC; SOCIÉTÉ GÉNÉRALE; UBS AG, LONDON BRANCH; and WACHOVIA BANK, N.A., Plaintiffs-Appellants, —and— BARCLAYS BANK PLC; CITIBANK, N.A.; CANADIAN IMPERIAL BANK OF COMMERCE; JPMORGAN CHASE BANK, N.A.; COÖPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A., NEW YORK BRANCH; ROYAL BANK OF CANADA; SMBC CAPITAL MARKETS LIMITED, Plaintiffs, —against— MBIA INC., MBIA INSURANCE CORPORATION, and MBIA INSURANCE CORP. OF ILLINOIS, Defendants-Respondents. BRIEF FOR PLAINTIFFS-APPELLANTS ROBERT J. GIUFFRA, JR. MICHAEL T. TOMAINO, JR. BRIAN T. FRAWLEY JULIA M. JORDAN WILLIAM H. WAGENER JONATHAN C. SHAPIRO SULLIVAN & CROMWELL LLP 125 Broad Street New York, New York 10004 Telephone: (212) 558-4000 Facsimile: (212) 558-3588 Date Completed: March 16, 2011 Attorneys for Plaintiffs-Appellants STATEMENT PURSUANT TO § 500.1(F) OF THE RULES OF THE COURT OF APPEALS Plaintiff BNP Paribas states that it has over 1,000 subsidiaries and affiliates, which are too numerous to list, but states that its principal U.S. subsidiaries include Bank of the West; First Hawaiian Bank; BNP Pari bas Securities Corp.; BNP Paribas Prime Brokerage, Inc.; BNP Paribas Commodity Futures Inc.; Paribas North America, Inc. and BNP Paribas North America, Inc.