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23 Jul 2020, 6:50 am
FINRA Investigates Stephen Sloane for Allegations of Unsuitable Short-Term Trading According to public records on the Financial Industry Regulatory Authority’s website and various reports, financial advisor Stephen Sloane was named a respondent in a FINRA complaint alleging that he recommended an unsuitable investment strategy to retail customers. [read post]
14 Sep 2015, 8:15 am
Elsewhere, Publishers Weekly offers this short review. [read post]
29 Jun 2017, 6:29 am
Without admitting or denying
the findings, Pomeranz consented to the sanctions and to the entry of findings that he recommended a number of unsuitable short-term unit investment trust (UIT) transactions in an elderly customer’s account. [read post]
26 Jan 2022, 7:46 am
Disability insurance attorneys Gregory Dell and Stephen Jessup provide several tips to help get your long term disability claim approved: [read post]
14 Jun 2019, 4:18 am
But to its rescue appears NYU Law’s ethical maven, Stephen Gillers, who offers this deeply considered and heavily cited view: The preposterous claim that the First Amendment entitles lawyers to make racist, sexist and homophobic statements in connection with law practice is an embarrassment. [read post]
5 Apr 2024, 10:57 am
Justice Golberg’s favorite quote was from Shakespeare and it said that “The time is short; to spend that shortness basely were too long. [read post]
5 Mar 2007, 6:56 am
MacDonald wrote an introduction to Stephen King’s collection of short stories. [read post]
4 Jul 2009, 9:45 pm
One of the nine finalists to serve as the next Justice on the Supreme Court of Georgia is Stephen Louis A. [read post]
6 Jul 2022, 11:10 am
The Appointment of Justice Stephen Breyer to the Senate Judiciary Committee Justice Breyer’s legal career would go on to be nothing short of incredible as he served as a Watergate scandal assistant special prosecutor, a First Circuit US Court of Appeals judge, and a counsel on the Senate Judiciary Committee. [read post]
13 Mar 2015, 2:00 am
In preparation for the seminar, Stephen prepared a short video message. [read post]
30 Sep 2014, 4:05 pm
Stephens was rushed to nearby hospital where he was being treated for serious injuries. [read post]
23 Jul 2018, 7:27 am
University of Kansas School of Law Professor Stephen J. [read post]
28 Jan 2022, 2:30 am
Another edition of Friday Fun Facts: We have the "did you knows" about Justice Stephen Breyer. [read post]
14 Nov 2018, 1:35 pm
When brokers engage in excessive trading, sometimes referred to as churning, the broker will typical trade in and out of securities, sometimes even the same stock, many times over a short period of time. [read post]
16 Sep 2019, 6:18 am
The securities lawyers of Gana Weinstein LLP are investigating broker Stephen Sullivan (Sullivan), currently associated with SW Financial out of Melville, New York. [read post]
10 Oct 2007, 9:42 pm
Justice Stephen Breyer on judicial activism and short-sleeved shirts...Okay, he didn't really discuss the shirt, but it's the first time I've seen Casual Breyer and wanted to make note of it. [read post]
10 Apr 2017, 3:16 pm
Jack Coons and Stephen Sugarman cited by redefinED, April 10, 2017 A decade later, Berkeley law professors Jack Coons and Stephen Sugarman fell short in their bid to bring universal school choice to California, but their gutsy campaign still punctuates a historical truth: school choice in America has deep, rich roots on the left. [read post]
20 Jan 2022, 12:16 pm
In the following guest post, Nessim Mezrahi, Stephen Sigrist, and Carolina Doherty review the extent to which plaintiffs’ lawyers generally are relying on short-seller research to try to substantiate fraud-on-the-market claims. [read post]
9 Jun 2008, 9:06 pm
My colleague Stephen Bainbridge (Business Associations Blog) reports on a faculty edited journal that basically accepted the piece and then in fairly short order withdrew the acceptance, apparently with no... [read post]
2 Apr 2012, 6:19 am
The most eye-opening—to me, at least—was a note from Stephen F. [read post]
