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2022 Top Whistleblower Law Collaborative False Claims Act and Whistleblower Settlements Exceed $300 Million

23 Jan 2023, 10:40 am by David W.S. Lieberman

TRIAD Rx, Inc. will pay $166,547. [read post]

Whistleblower Blog and News - https://www.whistleblowerllc.com/blog-news/

ISS Discusses the Largest Class Action Settlements of 2022

9 Jan 2023, 9:01 pm by renholding

Walgreens After more than seven years of litigation, Walgreens, Inc. [read post]

The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/

Guest Post: The Largest Securities Class Action Settlements of 2022

5 Jan 2023, 2:22 pm by Kevin LaCroix

Allegations relate to the financial crisis from over a decade ago where a number of financial institutions – including Deutsche Bank Securities, RBS Securities, and Wachovia Capital Markets – misled investors within offering documents on various securities issued by NovaStar. [read post]

The D & O Diary - http://www.dandodiary.com/

FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement December 2022

30 Dec 2022, 8:04 am by Silver Law Group

James Kirschner Cetera Advisors LLC Ameriprise Financial Services, Inc. [read post]

Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/

FINRA Bars Stockbrokers For Failing To Provide FINRA With Information December 2022

30 Dec 2022, 7:37 am by Silver Law Group

Morgan Securities LLC Ameriprise Financial Services, Inc. [read post]

Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/

FINRA Suspends Registered Individuals For Violations Of FINRA Rules December 2022

30 Dec 2022, 7:14 am by Silver Law Group

Pamelia Owensby UBS Financial Services Inc. [read post]

Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/

LPL Broker John Matson Barred from Securities Industry

20 Dec 2022, 9:11 am by The White Law Group

11/02/2017 – 12/07/2022, LPL FINANCIAL LLC (CRD#:6413), MANHATTAN BEACH, CA, B, 06/22/2015 – 11/09/2017, AMERIPRISE FINANCIAL SERVICES, INC. [read post]

The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/

Weekly Roundup: December 2-8, 2022

9 Dec 2022, 6:34 am

Proxy Season Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Thursday, December 8, 2022 Tags: Corporate purpose, Corporate Social Responsibility, ESG, Esg governance, EU, Human rights [read post]

Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu

Weekly Roundup: December 2-8, 2022

9 Dec 2022, 6:34 am

Proxy Season Posted by Subodh Mishra, Institutional Shareholder Services, Inc., on Thursday, December 8, 2022 Tags: Corporate purpose, Corporate Social Responsibility, ESG, Esg governance, EU, Human rights [read post]

The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/

Guest Post: Dell Agrees to $1 Billion Shareholder Suit Settlement

1 Dec 2022, 1:58 pm by Kevin LaCroix

Class V stock was a publicly traded “tracking stock” that tracked the performance of VMware, Inc. [read post]

The D & O Diary - http://www.dandodiary.com/

FINRA Suspends Registered Individuals For Violations Of FINRA Rules November 2022

1 Dec 2022, 7:52 am by Silver Law Group

American Trust Investment Services, Inc. [read post]

Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/

FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement November 2022

1 Dec 2022, 7:23 am by Silver Law Group

Morgan Securities LLC Morgan Stanley Bruce Smith The Sports Advisory Group, LLC UBS Financial Services Inc. [read post]

Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/

FINRA Bars Stockbrokers For Failing To Provide FINRA With Information November 2022

30 Nov 2022, 1:49 pm by Silver Law Group

Aren Blackwood Richard Carman Ameriprise Financial Services, LLC LPL Financial LLC Jack Fascitelli LEX John Molskness Valic Financial Advisors, Inc. [read post]

Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/

Friday Job Announcements

25 Nov 2022, 2:37 pm by Arianna Morseau

Michigan Indian Legal Services, Inc RFP Call for Artists. [read post]

Turtle Talk - https://turtletalk.blog/

Court Rules that Client Can Sue Lawyers over Punitive Damages Award

20 Nov 2022, 6:17 pm by Peter S. Lubin and Patrick Austermuehle

Midwest Sanitary Service Inc. retained St. [read post]

Chicago Business Litigation Lawyer Blog - http://www.chicagobusinesslitigationlawyerblog.com/

FINRA Bars Stockbrokers For Failing To Provide FINRA With Information October 2022

11 Nov 2022, 9:39 am by Silver Law Group

Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Eddy Chou Inspire Advisors, LLC Ameriprise Financial Services, LLC Kara Gagnon Global Atlantic Distributors, LLC MetLife Investors Distribution Company Johana Jimenez Derick Stickland Allstate Financial Services, LLC FINRA makes this information available, in part, to inform investors about potential red flags or… [read post]

Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/

FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement October 2022

11 Nov 2022, 9:28 am by Silver Law Group

LPL Financial LLC Kevin NcNeil SW Financial Joseph Gunnar & Co., LLC Alex Salcedo Scottrade, Inc. [read post]

Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/

FINRA Suspends Registered Individuals For Violations Of FINRA Rules October 2022

11 Nov 2022, 9:07 am by Silver Law Group

Liberty Partners Financial Services, LLC Matthew Black J.P. [read post]

Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/

Driving Operational Efficiencies? KLDiscovery Inc. Announces Third Quarter 2022 Financial Results

10 Nov 2022, 3:42 pm by Rob Robinson

KLDiscovery Inc. [read post]