Search for: "Bill Stanley"
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3 May 2023, 4:00 am
Campaign Finance Arizona: “Group Wants to Keep Dark Money Out of Politics” by Howard Fischer (Capitol Media Services) for KAWC National: “Bill Would Require Disclosure of AI-Generated Content in Political Ads” by Isaac Stanley-Becker (Washington Post) for MSN Maine: “Portland City Council Establishes Clean Elections Program” by Rachel Ohm (Portland Press Herald) for Yahoo News Ethics Iowa: “Iowa… [read post]
1 Apr 2014, 5:42 am
This post continues our investigation into the recent bar of broker William (Bill) Tatro by the Financial Industry Regulatory Authority (FINRA) and his relationship with Mary Helen Caprice Mallett (Mallett), Tatro’s wife, colleague, and business partner. [read post]
30 Oct 2017, 5:58 pm
Su (r) watches following an Abbott bill signing that reduced Texas' franchise tax by 25 percent in June 2015. [read post]
28 Nov 2019, 4:44 am
featured in today's Securities Industry Commentator:Former Managing Director Of Investment Bank Sentenced To 2 Years In Prison For Insider Trading Scheme (DOJ Release)SEC Charges Hedge Fund Adviser and Top Executives with Fraud (SEC Release)[In]Securities Guest Blog: WeWork Works It Out by Aegis Frumento Esq (BrokeAndBroker.com Blog)FINRA Fines and Suspends Former Morgan Stanley Rep Over Unsuitable Trades. [read post]
6 Dec 2019, 12:39 am
featured in today's Securities Industry Commentator:Synapse Financial Technologies Sued For Harassment, Discrimination and Retaliation (BrokeAndBroker.com Blog)Social Media Influencer Sentenced to 14 Years in Federal Prison after Plotting to Hijack Internet Domain / Planned an Armed Home Invasion after Owner of “doitforstate.com” Refused to Sell (DOJ Release)Morgan Stanley is cutting jobs due to uncertain global environment, sources say (CNBC.com)SEC Obtains Touting and Fraud… [read post]
30 Oct 2023, 6:17 am
Federal Court Confirms Multi-Million Dollar FINRA Arbitration Award for Charles Schwab Against Morgan Stanley (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
27 Nov 2020, 12:05 pm
FINRA Sanctions Former Morgan Stanley and UBS Reps Over Misuse of Customer Information (BrokeAndBroker.com Blog)SEC Awards Over $6 Million to Joint Whistleblowers (SEC Release)Long Island Man Charged with Defrauding Investors / Defendant Allegedly Misappropriated More Than $700,000 in Investor Funds (DOJ Release)SEC Charges Boiler Rooms Operator with Defrauding Retail Investors (SEC Release)San Antonio Father and Son Arrested for Alleged Ponzi Scheme (DOJ Release)... [read post]
27 Feb 2020, 11:14 am
Robinhood says it’s experiencing a 'system-wide outage' as markets rebound in heavy volume Monday (CNBC by Maggie Fitzgerald)Hot Shoe Burnin' Down Wall Street In FINRA Morgan Stanley Panama Arbitration (BrokeAndBroker.com Blog)11 Members Of Money Laundering Ring Charged / Defendants Received and Laundered Proceeds of Online Fraud Schemes Involving Over $5 Million of Intended Loss (DOJ Release)... [read post]
9 Aug 2021, 5:27 am
Morgan Stanley Raises Serious Questions in Failed TRO Against Former Employee (BrokeAndBroker.com Blog)Four Individuals Charged with Long-Running Global Pump-and-Dump Scheme / Defendants allegedly generated at least tens of millions in illicit proceeds (DOJ Release)SEC Charges International Microcap Fraud Scheme Participants (SEC Release)SEC Charges Four in International Microcap Fraud Schemes (SEC Release)... [read post]
30 Jan 2008, 4:30 am
Morgan Stanley, No. 05-7569, 2007 WL 4145403 (S.D.N.Y. [read post]
11 Jun 2007, 3:10 am
Blawg Review #112 is hosted this week by Tim Stanley on Justia's Legal SEO & Marketing Blog.As one would expect from the creators of Blawg Search by Justia, this week's Blawg Review #112 is a comprehensive roundup of some of the best blog writing from many of the leading law bloggers -- and some we hadn't yet discovered in the ever-growing blawgosphere.By the way, you'll notice that we've added Justia's Blawg Search to the sidebar of this weblog, along… [read post]
29 Nov 2011, 9:01 pm
Under the Leahy bill, the government would be required to obtain a warrant before accessing the content of our private digital communications. [read post]
6 Oct 2009, 6:05 pm
Stanley C. [read post]
14 Jul 2016, 2:46 pm
(credit: Stanley Sagov) Rep. [read post]
10 Jun 2010, 1:02 pm
Mayor Daley said sponsors have stepped forward to pay for the parade and taxpayers will not foot the bill. [read post]
27 Jun 2014, 2:36 pm
Championed by Massachusetts resident Bill Cosby and sponsored by Democratic State Senator Stanley Rosenberg of Amherst, the bill continues the trend of states providing additional publicity rights after death, as discussed in our earlier post regarding California’s protection of the rights of deceased soldiers who became famous because of their deaths. [read post]
25 Feb 2016, 9:56 am
“These bills act to weaken and undermine Dodd-Frank regulatory changes designed to improve oversight of securitization,” Stanley concluded. [read post]
13 Aug 2018, 8:15 am
Such are the first thoughts that came to mind for BrokeAndBroker.com Blog's publisher Bill Singer after he first read today's featured FINRA intra-industry arbitration. [read post]
8 May 2020, 6:31 am
SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients / Settlement Will Create $5 Million Fund to Benefit Harmed Investors (SEC Release)FINRA Imposes Fine and Suspension for Rep's Transmittal of Customer Documents Via EmailIn the Matter of Sune Gaulsh, Respondent (FINRA AWC)FINRA Imposes Fine and Suspension for Rep's Fraternal Benefit Society Short-cutIn the Matter of Robert Nordaune, Respondent (FINRA AWC)CityMD mistakenly told 15,000… [read post]
10 Apr 2023, 4:02 am
FINRA Arbitrators Award Damages Against Morgan Stanley In Case Alleging Customer Lacked Mental Capacity (BrokeAndBroker.com Blog) Pro Se Registered Respondent A No Show At Arbitration Involving Cambridge Capital Group (BrokeAndBroker.com Blog) DOJ RELEASES Grand Jury Charges San Fernando Valley Man Who Allegedly Embezzled $2.2 Million in Money and Real Estate from Elderly Victim (DOJ Release) Founder And Former Chief Investment Officer Of Infinity Q Sentenced To 15 Years In Prison… [read post]
