Search for: "The Record Law Firm, LLC"
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9 Feb 2024, 8:59 am
By failing to maintain and preserve required records, some of the firms likely deprived the SEC of these off-channel communications in various SEC investigations. [read post]
13 Mar 2023, 4:33 am
’ ” All told, Professor Shaner writes, The private ordering era has revealed the dominance of contractarianism in corporate law—statutory amendments endorse, and courts have embraced, private ordering consistent with the contract theory of the firm. [read post]
15 Apr 2024, 6:18 pm
Katie Bush joins corporate law firm Nemphos Braue and its lobbying affiliate Old Line Government Affairs as Director of Business Development, underscoring the firm’s dedication to creating and nourishing strong relationships with business leaders at all levels and all stages – from startup to exit. [read post]
25 Apr 2019, 10:59 am
According to BrokerCheck records financial advisor John Spach (Spach), formerly employed by Kestra Investment Services, LLC (Kestra) has been subject to at least one customer complaint, one regulatory action, and one employment termination for cause. [read post]
2 Sep 2022, 11:58 am
By David Hricik, Mercer Law School After Prince, the musician, died an engineer who had unreleased recordings hired a Massachusetts firm who advised the engineer that he was a joint author of the recordings and jointly owned copyright in them, and so could distribute the recordings subject to paying Prince’s estate a share of royalties. [read post]
28 Feb 2024, 6:37 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
4 Dec 2023, 4:58 am
(GF), a large private-sector engineering firm based in Atlanta, Georgia. [read post]
12 Jun 2023, 2:08 pm
The firm reportedly has 22 disclosures on its broker record including 14 regulatory actions, 1 civil action and 7 arbitrations. [read post]
12 Jan 2008, 9:44 pm
The law firm of KamberEdelson LLC quickly hopped on the case with a class action demanding millions, saying bad guys might use the information on past lawn mower purchases and the like to trick homeowners into divulging more serious financial data, though its complaint cited no instances where anything of the sort had actually happened. [read post]
30 Sep 2023, 4:17 am
Semmes’ first point of contact was with a third-party marketing firm, Tort Network LLC, d/b/a Velawcity. [read post]
1 Dec 2020, 12:48 pm
The firm reportedly has 16 disclosure events on its broker record including 10 regulatory events and 6 arbitrations. [read post]
6 Feb 2012, 6:37 am
The firm of Asbill Stiles, LLC is based in Charlotte, North Carolina and located in the historical Gateway building, directly across the street from the federal courthouse. [read post]
31 Jan 2012, 12:52 pm
See also Section 18-1104 of the LLC Act which provides that: “In any case not provided for in this chapter, the rules of law and equity . . . shall govern and underlying rules of law and equity shall govern. [read post]
14 Oct 2011, 11:16 am
The law firm is advocating for the Motion Picture Association of America Inc. on the customs valuation of products that carry digital media and disputes concerning market access in the Middle East and Southeast Asia, according to a lobbying registration form. [read post]
17 Dec 2021, 5:35 am
None of these records were preserved by the firm as required by the federal securities laws. [read post]
16 Dec 2008, 9:41 am
Fairfield Financial Mortgage Group, Inc. refinanced a property located in Southington, Connecticut, that was supposed to result in the lender having a first mortgage interest in the borrowers’ residence, however, due to an alleged botched title search by the law firm retained by the lender, the defendant Superior Closing Services, LLC, the lender wound up in second position. [read post]
13 Aug 2018, 9:49 am
§ 78u-6(h)(1)(A)(i)-(iii), and for the firm’s acts of defamation and fraud.Cosgrove Law Group, LLC represents former employees in the finance industry against their employers for U5 defamation and whistleblower retaliation. [read post]
17 Feb 2021, 2:01 pm
[Luftschein] churned and excessively traded the accounts of three of his Firm customers . . . [read post]
24 Dec 2018, 11:35 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Scott Kozak (Kozak), formerly associated with Cetera Advisors LLC (Cetera) in Highlands Ranch, Colorado has been accused by his former firm and barred by FINRA over unapproved securities. [read post]
26 Oct 2020, 9:34 am
Miller Starr Regalia has had a well-established reputation as a leading real estate law firm for more than fifty years. [read post]
