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26 Feb 2023, 1:21 pm
You can follow David Adelstein on Twitter @DavidAdelstein1. [read post]
6 Aug 2019, 8:52 am
According to FINRA Disciplinary actions for July 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Bender, Charles III Suntrust Investment Services, Inc JP Morgan Securities LLC Bingham, Daniel Essex Securities LLC Investors… [read post]
26 Feb 2016, 6:06 am
Atmeh, CamberView Partners, LLC, on Friday, February 19, 2016 Tags: Boards of Directors, Charter & bylaws, Director nominations, Engagement, Institutional Investors, ISS, No-action letters, Proxy access, Rule 14a-8, SEC, Securities Regulation, Shareholder proposals, Shareholder voting Board Decisions in Delaware M&A Transactions Posted by Robert B. [read post]
4 Aug 2023, 7:16 am
Morgan Securities LLC Mulan Greenway David Morris Stifel, Nicolaus & Company, Incorporated UBS Financial Services Inc. [read post]
22 Jan 2007, 9:53 am
[collectively referred to as “Plaintiffs”], seek a preliminary injunction to prevent Defendants RE/MAX First Choice, LLC [”RE/MAX”] and David E. [read post]
11 Feb 2010, 8:21 am
ESN, LLC v. [read post]
26 May 2015, 6:03 am
Editor's Note: David W. [read post]
18 Sep 2022, 2:28 pm
Robertson, and David J. [read post]
8 Jan 2019, 5:03 am
Plaintiffs David F. and Katherine W. [read post]
16 Feb 2021, 6:21 am
AMN Services, LLC. [read post]
8 Feb 2024, 11:43 am
UBS Securities, LLC, a Sarbanes-Oxley Act (SOX) whistleblower case with widespread implications for the ability of whistleblowers to seek anti-retaliation protections under federal whistleblower laws. [read post]
25 Aug 2012, 9:04 am
(With a standard 12% sales load or fee, the annualized return rate for the nontraded REIT goes up from 10.3% to 12.5%. [read post]
16 Aug 2019, 6:00 am
Atkins, Patomak Global Partners, LLC, on Sunday, August 11, 2019 Tags: Climate change, Disclosure, Environmental disclosure, ESG, Public firms, Risk disclosure, SEC, Securities regulation, Sustainability, Taxation Managing Legal Risks from ESG Disclosures Posted by David R. [read post]
13 Jun 2022, 6:07 am
Both of the patents list David L. [read post]
8 Feb 2012, 12:55 pm
Raven Resources, LLC v. [read post]
12 Nov 2022, 10:09 am
You can follow David Adelstein on Twitter @DavidAdelstein1. [read post]
12 Feb 2010, 1:02 pm
By Eric Goldman Xcentric Ventures, LLC v. [read post]
8 Jul 2019, 7:32 am
“The largest concern is a possible relocation provision requiring that all clearing move to the EU either by the letter of the law or by making it so expensive that companies outside the EU will be priced out of competition,” said Subcommittee Chairman David Scott (D-Ga). [read post]
28 Mar 2018, 3:27 am
In re Serial Podcast, LLC, Serial Nos. 86454420, 86454424, and 86464485 (March 26, 2018) [precedential] (Opinion by Judge David K. [read post]
19 Jul 2016, 4:38 pm
©2016 Amaxx LLC. [read post]
