Search for: "Bill Stanley"
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25 Mar 2020, 10:51 am
[In]Securities Guest Blog: Breathless by Aegis Frumento Esq (BrokeAndBroker.com Blog)Business in the Time of COVID-19: BCPs, Regulatory Relief & More (FINRA Unscripted)SEC Obtains Judgment Against Promoter Who Fraudulently Raised $3 Million for Christian Concerts / Highlights Issue of Fraud in Faith-Based Communities (SEC Release)FINRA Imposes Fine and Suspension for Misuse of Morgan Stanley AFG Account. [read post]
11 Dec 2020, 7:08 am
After Midnight It All Hangs Out In Morgan Stanley Arbitration(BrokeAndBroker.com Blog)SEC Charges Corporate Controller and His Brother-In-Law with Insider Trading Ahead of Merger Announcement (SEC Release)FINRA Censures and Fines R.F. [read post]
15 Oct 2021, 12:10 pm
After Morgan Stanley Raised Serious Questions in Failed TRO Against Former Employee, The Parties Stipulate to Preliminary Injunction (BrokeAndBroker.com Blog)Attorney General James Directs Unregistered Crypto Lending Platforms to Cease Operations In New York, Announces Additional Investigations / Today's Announcement Follows Previous Warnings to Virtual Currency Platforms That Unlawful Activity Will Not Be Tolerated in New York (NYAG Release)SEC Staff Releases Report on Equity and… [read post]
13 Mar 2023, 4:17 am
A Form Of Lunacy Has Overtaken The SEC (BrokeAndBroker.com Blog) FINRA's Travesty of a Transamerica Settlement (BrokeAndBroker.com Blog) Morgan Stanley Granted TRO Against Advisor Who Joined LPL / After a whirlwind two days of motion-slinging, the parties agreed to arbitration. [read post]
23 Oct 2020, 3:31 am
PeirceSEC Obtains Final Judgment Against Participant in Market Manipulation Scheme (SEC Release)FINRA Fines and Suspends Rep In Response to Son's PST and Personal EmailsIn the Matter of Norman Stanley Batansky, Respondent (FINRA AWC)FINRA Bars Rep In Response to Complaints Via FINRA's Senior HelplineIn the Matter of Cynthia Diane Cowden, Respondent (FINRA AWC)JP Morgan Securities Whiffs In FIN... [read post]
10 Apr 2023, 4:02 am
After Thanking Very Helpful Whistleblower, The SEC Then Stabs The Tipster In The Back (BrokeAndBroker.com Blog) 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) Financial Professionals Coalition, Ltd. [read post]
10 Apr 2023, 4:02 am
After Thanking Very Helpful Whistleblower, The SEC Then Stabs The Tipster In The Back (BrokeAndBroker.com Blog) 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 Former Investment Banker and Registered Broker Charged with Operating Cryptocurrency Investment Fraud Scheme (DOJ… [read post]
9 Apr 2022, 11:14 am
For a Second Time, Federal Court Says Price Isn't Right In UBS Whistleblower Retaliation (BrokeAndBroker.com Blog)Former Managing Partner Of Manhattan Investment Advisory Firm Sentenced To 12 Years For Defrauding Investors In An Over $120 Million Ponzi-Like Scheme (DOJ Release)SEC Charges Four Individuals Involved in Investment Fraud Targeting Retirees (SEC Release)SEC Charges Former Executives of Florida Cash Advance Company with Defrauding Retail Investors (SEC Release)SEC Charges Third… [read post]
22 Aug 2010, 8:47 am
Central Mortgage Company (“CMC”) is a servicer of residential mortgage loans which means that CMC sends bills to and collects payments from the mortgagor and remits those payments to the mortgagee. [read post]
19 Apr 2006, 9:12 am
In many instances the costs to simply process the data can seem extremely high in comparison to the legal fees billed to handle the matter. [read post]
12 Apr 2023, 1:00 am
Campaign Finance North Dakota: “Bills to Boost Campaign Finance Transparency Hit Dead End in North Dakota Legislature” by Jeremy Turley for Fargo Forum Elections Arizona: “Printer Glitches in Ariz. [read post]
19 May 2014, 4:28 pm
This same bill has been stalled in the Senate for more than three years, he said. [read post]
23 Aug 2016, 2:00 am
" The symposium includes 15 personal narratives from those involved with VSED, including from: Carol Douglas and Bill Lukin, Julie Dziedzic, Katherine Hammond, Elizabeth and Bill Jose, Wendy Kohlhase, Adam Marks, Marilyn Mitchell, Phyllis Shacter, Susan Schaffer with Elliot Schaffer, and Janet Maelek, Judith Schwarz, Stanley Terman, and Gregory Webster. [read post]
8 Mar 2019, 11:15 am
This week in Other Barks & Bites: The United Nations highlights the importance of women in innovation on International Women's Day; Comments due today on USPTO Section 101 Guidance; FDA Commissioner Scott Gottlieb resigns; a Senate bill with six bipartisan co-sponsors would increase requirements on patent disclosures for biologics; USPTO Director Iancu speaks out on Alice; Apple announces its intention to increase its presence in San Diego while its patent battle with Qualcomm… [read post]
29 Jun 2010, 1:34 am
During the trial, Yanez submitted documentary evidence of her past medical bills to the jury and her surgeon testified that the surgery bill for approximately $17,000 was reasonable. [read post]
27 Apr 2007, 8:48 am
Stanley Fisher (BU) has written Eyewitness Identification Reform in Massachusetts. [read post]
6 Mar 2024, 6:51 am
Pace-O-Matic has lobbied heavily for the bill Stanley will now help finalize in the last week of the session. [read post]
12 Jun 2023, 8:38 am
Following the attacks, Richard led a massive evacuation of Morgan Stanley’s 2,700-person workforce located in the South Tower. [read post]
13 Nov 2009, 4:00 am
Morgan Stanley fired Peterson in December amid suspicions that he had violated the U.S. [read post]
17 Sep 2022, 9:15 am
SEC Buries the Lede About Stunning Misconduct in Its Office of the Ombudsman (BrokeAndBroker.com Blog)Area man who claimed to be African prince convicted by jury of several fraud crimes (DOJ Release)Morgan Stanley Smith Barney to Pay $35 Million for Extensive Failures to Safeguard Personal Information of Millions of Customers (SEC Release)Sparkster to Pay $35 Million to Harmed Investor Fund for Unregistered Crypto Asset Offering / Crypto Asset Promoter Ian Balina Charged for Touting Tokens… [read post]
