Search for: "Oppenheimer & Co."
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24 Sep 2019, 7:51 am
Zynerba Public Offerings Zynerba held its initial public offering in 2015, with Jefferies LLC and Piper Jaffray & Co. as joint book-running managers, and Cannacord Genuity Inc. and Oppenheimer & Co. [read post]
6 May 2021, 9:03 pm
Florida Tomato Committee Pasquinelli Produce Co. [read post]
12 Aug 2015, 9:08 am
LLC – $500,000 The Northern Trust Company – $60,000 Oppenheimer & Co. [read post]
16 Nov 2017, 4:25 am
Co. v Coleman, 305 AD2d 151, 152 [1st Dept 2003]). [read post]
17 Sep 2020, 11:12 am
Cantor Fitzgerald & Co., Oppenheimer & Co. [read post]
18 Jul 2007, 9:40 pm
Oppenheimer was subsequently fined $1 million and ordered to reimburse over a million to the widow by the state of Massachusetts.) [read post]
8 Mar 2007, 9:43 am
Huller responded that 152 scientists were lead authors and 400 were co-authors. [read post]
4 Nov 2008, 10:07 am
Co. of Am. [read post]
6 Feb 2018, 7:33 am
Oppenheimer & Co. [read post]
26 Jan 2016, 11:40 am
According to BrokerCheck, Lawrence was a registered representative of Merrill Lynch from 04/2003 – 06/2008, Oppenheimer & CO from 06/2008 – 07/2011, and Southwest Securities 08/2011 – 12/2013. [read post]
21 Jan 2011, 3:17 am
Evidence that plaintiff failed to read an order entered on consent before its entry, allowed the time for an appeal from that order to lapse, and abandoned defendant on a stay application just days before a material event raised a triable issue as to whether plaintiff's conduct fell below the standard of the profession (see Bernstein v Oppenheim & Co., 160 AD2d 428, 430-431 [1990]). [read post]
4 Jan 2017, 8:24 am
He was previously registered with Oppenheimer & Co., New York, NY from 07/16/2008 – 08/12/2013. [read post]
9 May 2006, 4:18 am
Co. v. [read post]
3 Jan 2018, 4:33 am
The record clearly establishes an attorney-client relationship, as defendant entered into two stipulations extending Billiard’s time to answer in an underlying personal injury action, which were filed in court, and represented itself as Billiard’s attorney (see Cooke v Laidlaw Adams & Peck, 126 AD2d 453, 455 [1st Dept 1987]; compare Pellegrino v Oppenheimer & Co., Inc., 49 AD3d 94, 99 [1st Dept 2008]). [read post]
14 Oct 2009, 8:08 am
To accomplish this, FINRA has expanded the program to include cases against the following 14 broker-dealers (from 11 broker-dealers): Chase Investment Services (10 cases); Oppenheimer & Co. (15 cases); Raymond James Financial Services/Raymond James & Associates (10 cases); Citigroup Global Markets (60 cases); Merrill Lynch (60 cases); Morgan Stanley Smith Barney (60 cases); UBS Financial Services (60 cases); Wells Fargo Advisors (60 cases); Ameriprise Financial Services… [read post]
17 Oct 2017, 1:01 pm
And, finally, we are working on a lawsuit against the Oppenheimer & Co. for religious discrimination where our Jewish client was allegedly taunted with bagel jokes and other derogatory religious comments before they fired him. [read post]
30 May 2014, 7:50 am
According to Lawrence’s FINRA BrokerReport, he was registered with Southwest Securities from August 2011 through December 2013, Oppenheimer & Co. from June 2008 through July 2011, and Merrill Lynch from April 2003 through June 2008. [read post]
15 Mar 2021, 8:56 am
The offering listed Oppenheimer & Co. as the sold book-running manager, with Roth Capital Partners and Laidlaw & Company (UK) Ltd. as co-managers. [read post]
14 Jan 2012, 11:51 am
New to being noticed as regular blogees this year are Blackstone Group, Oppenheimer & Co., Royal Bank of Canada, Canaccord Capital, Laidlaw Securities, ABN-Amro, Fidelity Investments, Leerink Swann, Mitsubishi Securities (USA), Charles Schwab, Wedbush Morgan and RBS Securities. [read post]
1 Jul 2015, 7:43 am
Since 2008, Gardner has been associated with Oppenheimer & Co. [read post]
