Search for: "Sterling Trading, LLC"
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12 Nov 2023, 9:52 am
Essentiv LLC, 2020 WL 7024867 (D.Del. [read post]
8 Aug 2023, 11:25 am
(CRD#:7059), New York, NY Lilia Nia: B – 09/03/2013 – 02/26/2021, Purshe Kaplan Sterling Investments (CRD#:35747), Fairfield, NJ B – 04/24/2012 – 09/16/2013, Wells Fargo Advisors Financial Network, LLC (CRD#:11025), Fairfield, NJ It was reported by FINRA that Weisbrod and Nia voluntarily resigned from Purshe Kaplan in February 2021. [read post]
22 Jun 2023, 7:22 am
However, it concluded that the materials used did not constitute trade secrets and that no trade secrets were stolen from Deloitte,’ Judge Berger said. [read post]
26 Apr 2023, 11:17 am
On April 12, 2023, Tradeweb’s Swap Execution Facility, TW SEF LLC, filed a self-certification[1] for certain overnight index swaps (OIS)[2] referencing USD Secured Overnight Financing Rate (“SOFR”) or GBP Sterling Overnight Index Average (“SONIA”) to be “made available to trade” (“MAT”) on exchange. [read post]
1 Mar 2023, 9:58 am
LLC, (Fed. [read post]
22 Feb 2022, 9:32 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
30 Aug 2021, 11:18 am
Shearman & Sterling LLP acted as legal advisor to the placement agents. [read post]
8 Apr 2021, 9:04 am
Shearman & Sterling LLP is acting as legal advisor to the placement agents. [read post]
24 Apr 2020, 4:42 am
Cannon III, and Doreen Lilienfeld, Shearman & Sterling LLP, on Monday, April 20, 2020 Tags: Board turnover, COVID-19, Disclosure, Executive turnover, Form 8-K, Management, Risk, Succession COVID-19 Impact: Potential Risks and Problems in Signed M&A Deals Posted by Mara H. [read post]
16 Jan 2020, 5:45 am
How he did it: A foreign exchange trader who supervised HSBC Bank’s foreign exchange business, Johnson manipulated foreign-exchange rates as the transaction was about to close by trading Sterling, Euros and Dollars, from which he generated significant profits. [read post]
8 Nov 2019, 3:00 am
Lobbyists’ Revolving Door Leads Back to Capitol Hill Jobs Bloomberg Government – Megan Wilson | Published: 11/5/2019 More than 100 staff members traded in jobs with high-paying K Street firms, corporations, trade associations, or nonprofits for long hours on Capitol Hill beset by partisan brawls and legislative gridlock. [read post]
18 May 2019, 9:27 am
THE LODESTAR COMES TO ALL LONE STAR STATE COURTS Last month the Texas Supreme Court handed down an important decision on attorney’s fees in a case involving a dispute over a commercial lease. [read post]
26 Apr 2019, 9:53 am
FEE-SHIFTING BY BENCH AND BAR IN TEXAS HENCEFORTH TO BE GUIDED BY THE LODESTAR Rohrmoos Venture v. [read post]
15 Apr 2019, 8:31 am
Advisor Daniel Davila (Davila), formerly employed by Purshe Kaplan Sterling Investments (Purshe Kaplan) and currently employed by advisory firm Austin Walth Management, LLC (Austin Wealth) has been subject to at least two customer complaints. [read post]
21 Sep 2018, 7:48 am
According to Perkin’s FINRA BrokerCheck report, he was a registered advisor with Purshe Kaplan Sterling Investments in Lafayette, LA from December 2009 until August 2016. [read post]
19 Sep 2018, 7:19 am
According to the complaint, Romer purportedly used the stolen funds to conduct trading in his own brokerage account, and made Ponzi-like payments to other customers. [read post]
6 May 2018, 8:35 pm
It did so, Justice Ginsburg’s dissent decried in a footnote, without even “acknowledging that it unsettles more than half a century of our precedent” (Encino Motorcars, LLC v. [read post]
18 Apr 2018, 1:02 pm
Sept. 23, 2016); Adams Arms, LLC v. [read post]
5 Sep 2017, 1:56 pm
Harrah’s NC Casino Company, LLC, et al.; No. 1:17-cv-00240 (W.D.N.C. [read post]
14 Jun 2017, 9:14 am
See, e.g., Syntel Sterling Best Shores Mauritius Ltd v. [read post]
