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2 Jan 2024, 10:01 am by Robin E. Kobayashi
For example, are securities broker-dealers employees of the investment firm or are they independent contractors? [read post]
20 Oct 2023, 2:40 pm by CFM Admin
. **** CFM Items Cole-Frieman & Mallon LLP, along with industry leaders MG Stover, Harneys, and KPMG, is a premier sponsor of the CoinAlts Annual Fund Symposium, which is being held in San Francisco on October 26, 2023. [read post]
20 Jul 2023, 10:44 am by Marcia Delgadillo
On June 6, 2023, the SEC charged Coinbase, Inc. and Coinbase Global, Inc. [read post]
30 May 2023, 2:01 pm by Peter (Pete) A. Steinmeyer
Premier Dealer Services, Inc., 2013 IL App (1st) 120327 has caused much head-scratching, and the Illinois legislature essentially punted on the issue in the recent amendments to the Illinois Freedom to Work Act, 820 ILCS 90/1, et seq. [read post]
8 Dec 2021, 11:27 am by CFM Admin
Generally, every CA RIA (other than those also registered as broker-dealers) that has custody of client funds or securities must maintain a minimum net worth of $35,000. [read post]
8 Dec 2021, 7:27 am by CFM Admin
Generally, every CA RIA (other than those also registered as broker-dealers) that has custody of client funds or securities must maintain a minimum net worth of $35,000. [read post]
7 Oct 2021, 6:37 am by CFM Admin
On September 15, Coinbase Financial Markets Inc, a subsidiary of Coinbase Global, Inc. [read post]
Premier Dealer Services, Inc., but clarifies what constitutes consideration if the employee does not meet the two-year employment prong discussed in that case. [read post]
24 Jun 2021, 8:47 am by Jill Vorobiev and Amy Harwath
Premier Dealer Services, Inc., 2013 IL App (1st) 120327, which held that continued employment is not sufficient consideration for a restrictive covenant unless the employee remains employed for at least two years. [read post]
15 Jan 2021, 1:48 pm by luiza
Among other things, the SEC alleged that Valeant improperly recorded sales to a specialty pharmacy, Philidor Rx Services, under Valeant’s control. [read post]
22 Dec 2020, 9:43 am by CFM Admin
For purposes of the Form ADV Part 3, a “retail investor” means a natural person, or the legal representative of such natural person, who seeks to receive or receives services primarily for personal, family, or household purposes. [read post]
16 Apr 2020, 4:55 am by Hedge Fund Lawyer
District Judge Kevin Castel of the Southern District Court of New York issued an injunction against Telegram Group Inc. [read post]