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8 Sep 2023, 12:51 pm by The White Law Group
Ameriprise Financial Services Allegedly Overcharges Retirement Customers  Ameriprise Failure to Supervise Rep’s Conversion of Funds  September 2016 – FINRA fined Ameriprise Financial Services, Inc. $850,000 for its failure to detect and prevent the conversion of over $370,000 from five customer brokerage accounts by one of its registered representatives. [read post]
6 Sep 2023, 9:20 pm by The White Law Group
This settlement arises from allegations of improper expense reimbursements made to external advisors of Lodging Opportunity Real Estate Investment Trust and Lodging Fund REIT III Inc. [read post]
28 Aug 2023, 10:46 am by Wiggam Law
Continental Service Group (ConServe) Coast Professional, Inc. [read post]
11 Aug 2023, 11:43 am by Mills & Mills LLP
 For over 130 years, we have earned a reputation amongst our peers and clients for quality of service and breadth of knowledge. [read post]
10 Aug 2023, 7:41 am by Dan Bressler
In PACCAR Inc & Ors v Competition Appeal Tribunal & Ors, four out of five justices ruled that such agreements fall within the statutory definition of damages-based agreements (DBAs). [read post]
9 Aug 2023, 10:26 am by Kevin LaCroix
Originally, through the court’s decision in In re Caremark Int’l Inc. [read post]
4 Aug 2023, 6:17 am by Andrew Lavoott Bluestone
“The Grievance Committee for the Ninth Judicial District served the respondent with a notice of petition dated July 22, 2020, and a verified petition dated July 16, 2020, containing 12 charges of professional misconduct, and the respondent served and filed a verified answer dated July 28, 2020. [read post]
The idea that investors might choose to consider certain environmental, social, and governance factors when deciding whether to buy shares of a company—a concept commonly known as ESG—continues to gain popularity with trillions of dollars currently held in investment funds that take into account ESG principles. [read post]