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30 Jul 2019, 5:51 pm
” “Because Cozen O’Connor PC has represented Jushi Inc. in connection to proposed transactions involving medical marijuana dispensaries in Pennsylvania, the firm cannot also represent Tanya Griffin, who is seeking to block the sale of the majority stake in TGS Illinois Holdings LLC to Frond Holdings LLC, according to an order on Monday by Judge Raymond W. [read post]
20 Jul 2019, 11:50 am
Forrest was registered with American Portfolios Financial Services, Inc. in Flint, Michigan from February 1, 2007 until November 16, 2016, FINRA states. [read post]
8 Jul 2019, 1:42 pm
Mark Lewton Hopkins Allegedly Accepted Customer Funds for an Investment without Obtaining Pre-approval from American Portfolios Financial Services, Inc. [read post]
20 Jun 2019, 1:42 pm
Investor rights attorney Alan Rosca, of the Goldman Scarlato & Penny PC law firm, is investigating activity related to Thomas H. [read post]
30 May 2019, 3:45 pm
Dager, President Velvet Ice Cream Company, Inc. 11324 Mount Vernon Road Utica, OH 43080 Dear Ms. [read post]
28 May 2019, 9:04 pm
Velvet Ice Cream Company Inc. [read post]
20 May 2019, 9:11 am
It has been suggested that the focus of inquiry in the Restatement project should be on decisions of state courts of last resort (and that overruled cases should be disregarded because they are no longer “good law” which makes eminent sense from the viewpoint of legal practice and appellate advocacy but less so from a more comprehensive view of the evolution of the substance of the law in historical context, which should also pay heed to dissents).The courts of law resort decide a… [read post]
24 Apr 2019, 1:03 pm
The MAD Oregon/Green Mile investors represented by the Goldman Scarlato & Penny PC law are seeking compensation for their investment losses from Farrow’s former employer, a securities broker-dealer firm with offices across the country. [read post]
23 Apr 2019, 2:13 am
[contact-form-7] Contact UsShow less Sam Aziz Barred by FINRA for Allegedly Refusing to Appear for On-the-record Testimony in Connection to an Investigation into Aziz and His Sales Practices Sam Aziz was reportedly barred for refusing to appear for on-the-record testimony in connection to an investigation into Aziz and his alleged sales practices at Coastal Equities, Inc. and David A. [read post]
22 Apr 2019, 9:48 am
FNC, Inc. [read post]
17 Apr 2019, 2:35 pm
Ernt was registered with Foresters Equity Services, Inc. in San Diego, CA from January 4, 2011 to March 12, 2018, FINRA reports. [read post]
20 Mar 2019, 7:51 am
(Check for commentary on CanLII Connects) 2. [read post]
24 Jan 2019, 1:55 pm
Ison was also registered with Globalvest Group, Inc. in Chicago, Illinois from May 21, 2004 until August 26, 2004, FINRA notes. [read post]
20 Jan 2019, 11:07 am
TCM Securities, Inc. allegedly failed to supervise said outside business activity, FINRA notes. [read post]
28 Dec 2018, 9:47 am
Alan Rosca, of the Goldman Scarlato & Penny PC law firm, is investigating activity related to Robert Jamison’s alleged participation in private securities transactions. [read post]
28 Dec 2018, 4:41 am
January 17, 2019 - 1 PM: International Beauty Exchange, Inc. v. [read post]
26 Dec 2018, 6:46 am
Alan Rosca, of the Goldman Scarlato & Penny PC law firm, is investigating activity related to Spencer Edwards, Inc. [read post]
20 Dec 2018, 7:15 am
Royal Alliance Associates, Inc. [read post]
7 Dec 2018, 6:08 am
Alan Rosca, of the Goldman Scarlato & Penny PC law firm, is investigating activity related to Bruce Plyer’s alleged unauthorized trading. [read post]
5 Dec 2018, 11:53 am
Roberto Montano Allegedly Engaged in Unsuitability & Misrepresentation in Connection with Equity Transactions Roberto Montano allegedly engaged in acts of unsuitability and misrepresentation in connection with equity transactions, according to a pending Customer Dispute filed on Montano’s FINRA BrokerCheck Report under review by investor rights attorney Alan Rosca. [read post]
