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1 Dec 2023, 7:39 am
Rodgers signed a letter of Acceptance, Waiver & Consent (AWC) on 5/25/2023, and the bar went into effect on 6/7/2023. [read post]
29 Nov 2023, 9:01 pm
In addition, the SEC also filed its first actions against issuers of non-fungible tokens (“NFTs”) in August and September 2023; Impact Theory LLC and Stoner Cats 2 LLC both settled the Commission’s cases against them.[9] Finally, the press release did not discuss the outcome of the SEC’s litigated case against Ripple Labs, where the U.S. [read post]
29 Nov 2023, 2:23 pm
(CRD#:5685), Alpena, MI, B, 03/25/2017 – 02/09/2018, MML INVESTORS SERVICES, LLC (CRD#:10409), ALPENA, MI B, 10/08/2007 – 03/25/2017, MSI FINANCIAL SERVICES, INC. [read post]
29 Nov 2023, 7:29 am
FINRA Bars Robert Silvestri after Allegations of Loan from Customer According to public records, FINRA, the self-regulator that oversees brokers and brokerage firms, has reportedly barred financial advisor Robert A Silvestri (CRD#: 2037669). [read post]
24 Nov 2023, 6:08 pm
Greene’s Energy Group, LLC, 138 S. [read post]
17 Nov 2023, 10:03 pm
Eleven states reported 25 cases. [read post]
13 Nov 2023, 4:07 am
, 74 NYS Bar Assoc. [read post]
3 Nov 2023, 11:39 am
Clardy LLC. and the newsletter for lawyers, 👀 The Peek: 🚪A Doorway into Wellness. [read post]
1 Nov 2023, 12:41 pm
Akima Global Services, LLC (Title VII; Alaska Native Corporation) Ferguson v. [read post]
1 Nov 2023, 10:44 am
” 2023 COA 85, at ¶25. [read post]
1 Nov 2023, 8:28 am
FINRA BrokerCheck Report – Ronald Burton Smith According to his FINRA BrokerCheck report, Smith was registered with the following firms, among others, during his career:08/25/2004 – 01/03/2023, PTS BROKERAGE, LLC (CRD#:119307), BORDENTOWN, NJ,B, 12/20/2000 – 09/10/2004, USALLIANZ SECURITIES, INC. [read post]
30 Oct 2023, 11:26 am
For example, Australia looks to the Australian Bar Association’s Barristers’ Conduct Rules and the Australian Solicitors Conduct Rules.[12] While in the United States, the Model Rules of Professional Conduct define the ethical codes of the American Bar Association, which numerous state governments adopt.[13] In the United States, Canada, Japan, and other democratic countries, an attorney typically has the dual role of representing their clients’… [read post]
24 Oct 2023, 9:01 pm
I’d like to start by returning to a theme that I’ve touched on before, and that is how public trust in our institutions is faltering.[1] No sector is immune from this trend. [read post]
19 Oct 2023, 11:12 am
(Jobiak LLC v. [read post]
11 Oct 2023, 11:17 am
Nelson,…517 U.S. 25 (1996). [read post]
5 Oct 2023, 7:26 am
One targeted attorney received an email that states,”Hi, I work with MCJ ASSETS, LLC. [read post]
3 Oct 2023, 9:01 pm
(These figures exclude follow-on actions, bars and suspensions.) [read post]
2 Oct 2023, 4:22 am
As relevant to this discussion, Gallagher was one of four members with equal 25% membership interests in the LLCs. [read post]
28 Sep 2023, 1:37 pm
A dispute dated February 25, 2013, requested $67,156 and alleged unsuitable recommendations and misrepresentation. [read post]
28 Sep 2023, 1:37 pm
A dispute dated February 25, 2013, requested $67,156 and alleged unsuitable recommendations and misrepresentation. [read post]
