Search for: "Executive Security Services, Inc."
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18 Dec 2007, 10:44 pm
NYSE Regulation also announced enforcement action against three people: *Former UBS Financial Services Inc. [read post]
15 Aug 2008, 6:54 pm
Lemons, a former AG Edwards Inc. and Bank of America Investment Services Inc. stockbroker, with misappropriating over $1.3 million from at least three clients. [read post]
26 Apr 2021, 9:05 pm
Parties in a securities transaction face counterparty risk during the time between trade execution and settlement. [read post]
22 Oct 2015, 12:20 pm
Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services. [read post]
3 Oct 2011, 12:30 pm
Postal Service and the IRS. [read post]
15 May 2020, 11:52 am
Citizenship and Immigration Services (USCIS), the Homeland Security component that administers the legal immigration system, just produced a long-awaited, delectable quaff. [read post]
12 May 2017, 6:20 pm
Limited, non-exclusive right to republish granted to Solutions Law Press, Inc. [read post]
4 Sep 2016, 6:56 am
In May 2016 the Department of Justice (DOJ) filed a five-count indictment in New York against nine defendants including Jared Mitchell, the Managing Partner of Mitchell & Sullivan Capital LLC; Richard Brown, a registered broker with Chelsea Financial Services; Christopher Castaldo, the Chief Executive Officer of Stock Traders Press Inc. and the President of Wall Street Buy Sell Hold Inc.; Gerald Cocuzzo, also known as “Gerry,” a registered broker… [read post]
9 Dec 2020, 2:13 pm
In the following guest post, Jeffrey Lubitz, Executive Director at ISS Securities Class Action Services, and Elisa Mendoza, Vice President of Operations at ISS Securities Class Action Services, take a detailed look at the event driven securities litigation phenomenon, which they describe as a new driver in the growth of securities suit filings. [read post]
4 Sep 2010, 9:09 am
The following information is reproduced from a press release issued by the Licensing Executives Society: WASHINGTON, August 25, 2010–Over one thousand of the world’s leading intellectual property (IP), licensing and business development professionals will gather for the Licensing Executives Society (USA & Canada), Inc., Annual Meeting at the Chicago Sheraton Hotel & Towers September 26-29. [read post]
10 Jan 2008, 3:52 pm
FINRA fined the firms after it compared the firms' advertised trade volume with the firms' executed trade volume found substantial overstatements for each firm in one or more of the securities reviewed. [read post]
14 Dec 2021, 2:00 pm
======================================================= By Jeff Lubitz, Executive Director, ISS Securities Class Action Services [read post]
6 Jun 2011, 5:21 am
May, 2011 – Brad Carr and Kathleen Hart of Andersen, Tate & Carr, P.C. represented Highwinds Capital, Inc. in securing a new $50 million credit facility with Silicon Valley Bank and Comerica Bank. [read post]
30 Aug 2012, 3:25 pm
Major Automotive Companies Inc. [read post]
2 Apr 2020, 4:14 pm
The Coronavirus Aid, Relief, and Economic Security (CARES) Act (H.R. 748) includes provisions on a variety of topics that can touch upon securities markets, including executive compensation limits and restrictions on share buybacks and the payment of dividends. [read post]
2 Oct 2018, 11:58 am
The most recent case is a securities class action lawsuit that has now been filed against educational services company Chegg, Inc., after its recent announcement of a data breach involving customer data. [read post]
27 May 2007, 4:27 pm
The agency accused an executive of cellphone distributor Brightpoint Inc. of overstating the company's earnings through improper use of an insurance policy. [read post]
15 May 2020, 11:52 am
Citizenship and Immigration Services (USCIS), the Homeland Security component that administers the legal immigration system, just produced a long-awaited, delectable quaff. [read post]
6 Jul 2011, 9:25 am
The Health and Human Services department startled drug makers last year when the agency said it would start invoking a little-used administrative policy under the Social Security Act against pharmaceutical executives. [read post]
8 Nov 2018, 9:05 am
UBS Financial Services, Inc. [read post]
